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Series 66 flashcards

Series 66 Exam

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

By: Katharine Tomasino
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Decks in this class (18)

Unit 2
What is an iar,
Who can be an iar,
Can an iar act as both an ia and iar
12  cards
Unit 3
Who is a broker dealer,
Persons not included in the defin...,
Are bds allowed to do business wi...
41  cards
Unit 4
For an instrument to be a securit...,
What is not a security,
What is an issuer
34  cards
Unit 5
Offer offer to sell,
Any security given as a bonus wit...,
What is assessable stock
58  cards
Unit 11
Systematic risks,
Market risk,
Interest rate risk
16  cards
Unit 10
Define future value,
Define present value,
If actual return is less than exp...
45  cards
Unit 12
Characteristics of preferred stock,
What are the basic features of co...,
What is a 2 for 1 stock split
28  cards
Unit 13: Fixed Income
Long term debt duration,
Who are the 3 major issuers of fi...,
Par face value is always
26  cards
Unit 17: Alternative Investments
Direct participation programs,
Because most dpps are privately p...,
Any income received by a partner ...
30  cards
Unit 16: Options
3 standardized terms for options,
A for american means,
E for european means
22  cards
Unit 14: Pooled Investments
What is an investment company,
What are the 3 types of investmen...,
What is not included in the defin...
73  cards
Unit 15: Insurance-Based Products
What is an annuity,
What are the two major types of a...,
Fixed annuities
63  cards
Unit 18: Type of Client
Tenants in common tic,
Joint tenants with right of survi...,
Tenants by the entirety tbe
33  cards
Unit 19: Client Profile
A family balance sheet is used to,
An individual s net worth is,
Behavioral finance
53  cards
Unit 20: Portfolio Management
Asset allocation refers to,
What are the 3 major asset classes,
Steps of the allocation process
57  cards
Unit 21: Tax Considerations
Regressive taxes,
Progressive taxes,
The other most important factor i...
102  cards
Unit 7: Ethics
The client agrees to waive rule v...,
Hedge clauses may not be used to,
What hedge clause would generally...
92  cards
Unit 1
Investment advisers act of 1940 i...,
Uniform securities act is one wha...,
Nasaa is the
71  cards

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Series 66 Exam

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