This class was created by Brainscape user Megan Meek. Visit their profile to learn more about the creator.
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Megan Meek
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Decks in this class (15)
Unit 1
New issues are regulated under __...,
A broker dealer acting as an agen...,
A broker dealer acting as a princ...
4
cards
Unit 2
Are commodities securities,
Are adrs securities,
Are endowments securities
21
cards
Unit 3
An order ticket must show,
If information in an adviser s br...,
When an agent ends his employment...
14
cards
Unit 4
If an adviser inadvertently recei...,
Under the investment advisers act...,
According to the investment advis...
8
cards
Unit 5
Under the investment advisers act...,
What is a qualified client,
______________________ are exempt...
4
cards
Unit 6
Nasaa s statement of policy on un...,
Is receiving a list of investors ...
2
cards
Unit 7
For agency cross trades to be exe...,
According to the investment advis...,
For ipos of securities that will ...
11
cards
Unit 8
Any person who willfully violates...,
If an agent unknowingly without f...,
True or false the administrator m...
9
cards
Unit 9
When can an issuer use an omittin...,
Form 10k,
What can be used to estimate a co...
22
cards
Unit 10
The trustee is responsible for re...,
Which type of joint ownership pro...,
How is a person s marginal tax br...
47
cards
Unit 11
A security that pays a fixed amou...,
The terms of a __________ contrac...,
The pricing of preferred stock wi...
20
cards
Unit 12
The yield curve often inverts whe...,
When a mutual fund share is redee...,
Which security is sold with a markup
12
cards
Unit 13
The major disadvantage to a limit...,
When a mutual fund distributes a ...,
A private equity fund manager is ...
22
cards
Unit 14
Fill in the blanks with low or hi...,
New claims for unemployment insur...,
Debt to equity ratio
25
cards
Unit 15
A capital needs assessment analyz...,
The contrarian style of investing...,
Taxable equivalent yield for a ta...
38
cards
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Series 65
- Class purpose General learning
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Looking for something else?
Series 65
- 6 decks
- 895 flashcards
- 1,982 learners
Decks:
1 Usa Broker Dealers Agents, 2 Investment Advisers Ethics, 3 Equity Fixed Income, And more!
Series 65
- 7 decks
- 392 flashcards
- 3 learners
Decks:
Chapter 1 Equity Securities, Chapter 2 Corporate And Municipal Debt S, Chapter 3 Government And Government Agen, And more!
