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David Durham
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Decks in this class (30)
Series 65 missed questions
Under the investment advisers act...,
Under the provisions of the unifo...,
The administrator does not have t...
136
cards
Chapter 1-5 Missed Q Bank Questions
With respect to the specific comm...,
When contrasting preemptive right...,
3 statements about mutual funds
33
cards
Q Bank FlashCards
To profit from temporary price di...,
Characteristic of gifts into an u...,
Short put option
84
cards
Chapter 6-10 flashcards
Under the uniform securities act ...,
Long term financial solutions inc...,
Under sec release ia 1092 who of ...
41
cards
Brian Lee Video Flashcard Notes
Comparing corporate bond to munic...,
Demand deposit,
Cd
27
cards
Brian Lee - Options, Futures & Forwards
Options,
Buy is whatsell is what,
Call what put what
21
cards
Brian Lee - Laws, Regulations, Ethics
Underwriters and investment banker,
Securities act of 1933,
Full fair disclosure act mean
62
cards
Client Recommendations and Investment Strategies
Taxation of each type of client,
Liability of owner for each type ...,
Ease of formation
67
cards
Key important Q bank flashcards
The rate that produces a net pres...,
A bond analyst who determines the...,
If a company successfully gets th...
27
cards
Targeted topics from test simulation
Under both federal and state law ...,
Investment adviser s advertising ...,
The usa patriot act
30
cards
Brian Lee Quicknotes Flashcards
8k is,
10q,
Irr
59
cards
Brian Lee Missed Exam Topics
According to efficient market hyp...,
In modern portfolio theory what i...,
Which two are most associated wit...
60
cards
Specific Topics Flashcards
Beta vs standard deviation,
Understanding amt,
Yankee vs euro
18
cards
Final Deck Specific Topics
Fixed vs current assets liabilities,
Bond math,
Financial statements
26
cards
Checkpoint exam topic(s)
Performance guarantees,
Acting in principal capacity,
Regulatory issues regarding broke...
51
cards
Chapter 13 flashcards
Referrals to other professionals ...,
Social media supervisory compliance,
Advisory contracts must disclose ...
34
cards
Chapter 18
Which of the following vehicles m...,
At what level do their benefits b...
7
cards
Chapter 2
If a customer buys a 6 bond matur...,
Most convertible securities are s...,
What rate of interest would a ban...
6
cards
Chapter 3
Investment company act of 1940,
Hurdle rate,
How many types of investment company
26
cards
Chapter 18
Settlor functionsfiduciary functions,
A special rule under section 529 ...,
A nonqualified plan designed to p...
16
cards
Chapter 7
Publicly traded corporations are ...,
The total of the cash from operat...,
Investing activities vs financing...
3
cards
Chapter 11
The sec has jurisdiction over,
As defined in the uniform securit...,
With the growth of the internet n...
4
cards
Unit 22
An investor purchases a tips bond,
Annualized rate of return is comp...,
The probable return is
6
cards
Unit 24
High water crediting method is,
Unit value cash value when are th...,
Among the reasons to consider inv...
5
cards
Unit 12
Under the uniform securities act ...,
An administrator can,
Using the powers granted under th...
4
cards
Unit 22
The total return of a mutual fund...,
Total return,
When as per the sharpe ratio a st...
4
cards
Unit 8
Yankee bondbrady bondeuro bond,
Securities sold under regulation ...,
Partners with the united states i...
3
cards
Unit 5
When the price is expected to sta...,
When contrasting call options pre...,
When contrasting preemptive right...
5
cards
Additional flashcards
A transactional exemption would b...,
When saving money for a child s c...,
An investor purchases 10 000 of a...
103
cards
Additional flashcards #2
1
cards
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