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Griffin Horne
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Decks in this class (22)
Chapter 1- Federal Securities Regulations-5 Questions
Securities act of 1933 paper act ...,
Definitions begin 1 security 2 is...,
4 person 5 prospectus 6 sale 3
77
cards
Chapter 2 Sections 1-6- state Regulation under The uniform securities Act- 23 questions
Uniform securities act of 1956 1,
North american securities adminis...,
Administrator 3
54
cards
Chapter 2 Continued
Three methods of registering in s...,
Notice filing 2,
Registration by coordination 3
43
cards
Chapter 3 17 Qs Federal And State Regulation Of Investment Advisers And Their Reps
Investment advisers act of 1940 1,
Broker dealer 2,
Fiduciary person associated with ...
64
cards
Chapter 3 Part 2
Principal or agency transactions ...,
Advertising under the usa and sec 2,
Unlawful advertisements 3
32
cards
Chapter 4 (3Qs)- Type And Characteristic Of Equity Securities
Stockholders equities 1,
Preferred stock 2,
Common stock returns 3
18
cards
Chapter 5- 5Qs Types And Characteristics Of Fixed Income
Three major issuers of debt 1,
Treasury bills 2,
Us treasury notes 3
26
cards
Chapter 6- 1Q Types And Characteristic Of Cash And Cash Equivalants
Money market 1,
Negotiable cds 2,
Commercial paper 3
5
cards
Chapter 7- 5Qs Pooled Investments
Investment company types 1,
Nav 2,
Closed end investment company 3
15
cards
Chapter 8 3Qs insurance based products
Annuity types and fixed annuity 1,
Variable annuities 2,
Combination annuity 3
16
cards
Chapter 9 (1 Q) Types and Characteristics of Derivative Securities
Opening an options account 1,
Options 2,
American vs european style options 3
7
cards
Chapter 10 (1Q)- Alternative Investments
Hedge funds 1,
Direct participation programs 2,
Investment real estate lp 3
5
cards
Chapter 11 (1Q) Basic Economics
Economics 1,
Business cycles 2,
Cyclical industries 3
15
cards
Chapter 12- (3Qs) Methods of Quantitative Analysis
Time value of money 1,
Future value 2,
Present value 3
15
cards
Chapter 17- (2Qs) Tax Considerations
Regressive vs progressive taxes 1,
Alimony 2,
Child support 3
33
cards
Chapter 18- (2Qs) Trading Securities
Cash accounts 1,
Margin accounts 2,
Margin call 3
15
cards
Chapter 19- (3Qs) Performance Measures
Current yirled vs yield to maturi...,
Total return 2,
Holding period return 3
18
cards
Chapter 20- (5Qs) Retirement Plans And Educational Funding
Individual retirement arrangement...,
Simplified employee pensions sep 2,
Withdrawals from traditional iras...
33
cards
Chapter 13- (1Q) Types of Investment Risk
Systematic risk 1,
Market risk 2,
Interest rate risk 3
17
cards
Chapter 14- (5Q) Type of Client
New account agreements 1,
Individual accounts 2,
Joint accounts rules 3
18
cards
Chapter 15- (6Qs) Client Profile
Financial profile 1,
3 factors to consider for investm...,
Preservation of capital 3
10
cards
Chapter 16- (7Qs) Portfolio Management Styles, Strategies and Techniques
Asset allocation 1,
Strategic asset allocation 2,
Constant dollar 3
18
cards
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Series 66 Self Study
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