This class was created by Brainscape user Leo O'Connor. Visit their profile to learn more about the creator.
By:
Leo O'Connor
- decks
- flashcards
- learners
Decks in this class (12)
Laws, Regulations and Guidelines Overview
What rules govern the registratio...,
True or false blue sky laws apply...,
How is a firm acting if it is tra...
34
cards
State Registration of Securities
What instruments are used to faci...,
List the securities that are exem...,
Though some securities are exempt...
126
cards
State Regulation Governing Broker-Dealers and Agents
Is a bank whose trust department ...,
Is an individual who represents a...,
Is a sales assistant for a bd who...
74
cards
State Regulations Governing Investment Advisers and IA Representatives
Is a certified public accountant ...,
True or false a publisher of a fi...,
Is an attorney who exclusively pr...
134
cards
Federal Regulations Governing Investment Advisers
Is an organization that provides ...,
True or false according to the us...,
True or false an ia that has full...
98
cards
Investment Advisory Practices
What is not pertinent when openin...,
If a client gives little informat...,
What is soft dollar compensation
32
cards
Prohibited and Ethical Business Practices Under the USA
What three items must be specifie...,
True or false principals must app...,
May a wife enter trades in a husb...
101
cards
Administration of the USA
What are the justifiable reasons ...,
True or false a gift of assessabl...,
Is the payment of a stock dividen...
84
cards
Federal Securities Acts
What is the primary purpose of th...,
True or false the sec judges an o...,
Indications of interest are _____...
73
cards
Investment Advisory Clients
True or false all corporate offic...,
A ___________________ is required...,
Municipal bond interest is exempt...
181
cards
Investment Vehicles
True or false when interest rates...,
Given a yield change ____________...,
Which interest rates are generall...
190
cards
Portfolio Management and Investment Risk
___________ stock fluctuates with...,
____________ stock is resistant t...,
What is the proper order of liqui...
237
cards
More about
Series 66
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Leo O'Connor's Series 66 flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Series 66
- 6 decks
- 894 flashcards
- 1,425 learners
Decks:
1 Usa Broker Dealers Agents, 2 Investment Advisers Ethics, 3 Equity Fixed Income, And more!
Series 66
- 21 decks
- 1187 flashcards
- 8 learners
Decks:
Ch 1 Laws Regulations And Guidelines Ove, Ch 2 State Registration Of Securities, Ch 2 State Registration Of Securities Pa, And more!
Series 24 Group Share
- 42 decks
- 2929 flashcards
- 166 learners
Decks:
Fc Chapter 1, Fc Chapter 2, Fc Chapter 3, And more!
