This class was created by Brainscape user Frank Lampen. Visit their profile to learn more about the creator.
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Frank Lampen
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Decks in this class (16)
Opening Customer Accounts
Five requirements for a new custo...,
Before settlement date of first t...,
Institutional account is 3
39
cards
Taxation
Earned income is salaries commiss...,
Investment income includes divide...,
Which two types of income are tax...
19
cards
Equity Securities
Six core elements of a stock cert...,
What s the order of liquidation 2,
When might a preferred stockholde...
20
cards
Debt Instruments
Difference between a bearer and r...,
What s the par value of a bond 2,
How is current yield calculated 3
20
cards
Corporate Debt Securities
Corporate bonds are also known as 1,
The trust indenture act 1939 cove...,
What s the threshold above which ...
20
cards
Packaged Securities
Companies engaged in investing re...,
What triggers a requirement for a...,
Any offer for mutual fund shares ...
27
cards
New Issues Under 1933 Act
All type of primary distribution ...,
What s a pipe 2,
What s the key requirement of the...
40
cards
Trading Securities
Name four key areas of the securi...,
What are the registration require...,
What s the best course of action ...
48
cards
Industry Rules
Within a member firm who must be ...,
What are forms u4 and u5 2,
How long after resignation of an ...
60
cards
Equity Trading
Non exchange trade securities are...,
Five stages an order normally goe...,
List five things on an order tick...
48
cards
Margin
How does regulation t affect marg...,
When is a margin account frozen 2,
What can be purchased on margin 3
31
cards
Analysis
What s short interest 1,
What does the breadth of the mark...,
How are moody s investment grade ...
3
cards
US Government Securities
What are three major categories o...,
What risks are associated with tr...,
Savings bonds offer liquidity and...
27
cards
Securities Analysis
Basic balance sheet equation 1,
What s capital surplus 2,
Four components of stockholders e...
33
cards
Economics
What effect does frb changing the...,
Features of open market operations 2,
Fed repo agreements see the fed 3
3
cards
Retirement
What standards must retirement pl...,
Two types of nonqualified plan 2,
Corporate pension plans profit sh...
14
cards
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Series 62
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