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Nick Baker
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Decks in this class (11)
Chapter 1 - Overview Of Financial Markets And Regulation
Which department of a broker deal...,
The _________ is the sro for the ...,
What is the role of an sro
9
cards
Chapter 2 - Registered Representatives and Financial Firms
When must registered reps,
True or false firm element contin...,
To apply for a securities license...
35
cards
Chapter 3 - Customer Accounts - Objectives and Tax Issues
What is some of the important inf...,
What is not pertient when opening...,
If a client refuses to provide ce...
19
cards
Chapter 4 - Documentation
True or false clients need not si...,
True or false only one person mus...,
Who may enter orders in a joint a...
59
cards
Chapter 5 - Fundamentals of Equity Investments
______ stock is stock that was is...,
True or false treasury stock has ...,
Issued stock treasury stock _____...
60
cards
Chapter 6 - New Issue Marketplace for Equities
True or false the sec judges an o...,
List the securities that are exem...,
Though some securities are exempt...
56
cards
Chapter 7 - Equity Trading Markets
Define an insider,
Individuals must register with th...,
When must insiders report their t...
95
cards
Chapter 8 - Fundamentals of Debt Securities
Bondholders are also referred to ...,
_____ is the par value for bonds,
Calculate the price of a corporat...
62
cards
Chapter 9 - Corporate Debt Securities and Money-Market Instruments
What is the proper order of liqud...,
The type of bond where bondholder...,
What are some examples of rolling...
38
cards
Chapter 10 - U.S. Government and Agency Debt Securities
T bills are issued in maturities ...,
The minimum face value of a t bil...,
True or false t bills are quoted ...
38
cards
Chapter 11 - Municipal Debt Securities - Bond Types and Tax Treatment
General obligation go bonds are b...,
By what types of taxes are state ...,
Local general obligation bonds ar...
37
cards
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