This class was created by Brainscape user Joe Kennedy. Visit their profile to learn more about the creator.

Decks in this class (17)

Section 2a
Business risk,
Credit risk,
Specialized mutual funds
4  cards
Section 2a Risk Spectrum
Moderate risk,
Higher risk,
Liquid investments include
4  cards
Section 2a Suitability Recomendations
Investment objective growth balan...,
Investment objective growth aggre...,
Investment objective income
6  cards
Section 2
Defined contribution pension plan,
Municipal bond interest income vs...,
Qualified mutual fund dividends
9  cards
Section 2b
Current yield formula
1  cards
Section 2b U.S. Government Securities
Series ee bonds,
Series i bonds,
4 types of marketable government ...
6  cards
Section 2c
What are the 3 general types of i...
1  cards
Random
How often is continuing education...,
What complaints must be reported ...,
Finra punishment includes
66  cards
Potential Test Questions
Which of these would be a suitabl...,
If there is a test question that ...,
If a test question says when they...
8  cards
More Random
Warrants,
If an over the count stock is quo...,
Mutual fund investors cost base
8  cards
Kaplan Section 1
Gdp gross domestic product measur...,
The president and congress have a...,
Warrants
16  cards
Kaplan Section 2
Balanced fund,
Specialized fund,
What does the public offering pri...
20  cards
Kaplan Section 3
Deferred compensation plans,
Per quiz question whenever you se...,
Erisa
14  cards
Kaplan Section 4
Class a shares carry what type of...,
Class b shares carry what type of...,
Class c shares carry what type of...
4  cards
Kaplan Section 5
What must appear on the applicati...,
Who are disputes regarding the pr...,
What is tod
12  cards
Kaplan Random
What is the primary feature in pr...,
What is a 2 for 1 stock split,
Nominal yield
26  cards
Kaplan Random #2
Cost basis on gifted securities,
Convertible bonds,
An increase in bond market prices...
24  cards

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Series 6

  • Class purpose General learning

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