1
Q
Two parts of books and records requirements
A
1) What info must be collected from
The customer
2) How records must be maintained and for how long
Series 7
flashcards
Decks in class (64)
# Cards
-
IMPORTO3
-
Rules & shit33
-
1st set106
-
2nd set73
-
3rd Set117
-
4th Set9
-
5th Set37
-
6th Set27
-
7th Set38
-
8th Set40
-
9th Set65
-
10th Set17
-
11th Set6
-
Acronyms1
-
Random9
-
Days to know11
-
Percentages15
-
Times/Dates1
-
Settlement3
-
Settlement8
-
Taxes13
-
Financial Statements10
-
Fundamental Analysis Formulas14
-
Brokerage Things2
-
Equity Accounts32
-
Other Accounts/Trading2
-
Test Improve28
-
Test Questions33
-
1: TYPES OF ACCOUNTS (221)155
-
Retirement plans14
-
types of accounts94
-
2: SUITABILITY INFO AND APPROVALS (77)10
-
3: EQUITY SECURITIES (197)54
-
Equities8
-
4: DEBT SECURITIES (107)43
-
Debt31
-
Bond ratings2
-
Bond yields1
-
5: CORPORATE BONDS (64)9
-
6: MUNICIPAL BONDS (345)65
-
Munis47
-
Muni docs3
-
Muni taxes8
-
Muni ratios & indices4
-
7: TREASURY AND GOV SECURITIES (85)33
-
8: INVESTMENT COMPANIES (269)95
-
9: INSURANCE COMPANY PRODUCTS (72)74
-
Annuities23
-
10: OPTIONS (456)17
-
11: OTHER PACKAGED PRODUCTS (138)16
-
Packaged products2
-
DPPs17
-
12: OTHER SECURITIES PRODUCTS (61)5
-
13: PORTFOLIO/ACCOUNT ANALYSIS (219)8
-
14: TYPES OF RISK AND DISCLOSURES (79)31
-
15: HANDLING CUSTOMER ACCOUNTS (92)16
-
16: ORDERS AND QUOTATION (250)7
-
17: PROCESSING TRANSACTIONS (86)5
-
18: COMPLAINT RESOLUTION (46)12
-
19: COMMUNICATIONS WITH THE PUBLIC (51)24
-
20: NEW ISSUES MARKET (255)59
-
new issues50
-
Mark CE1
-
Annuity taxes4
