This class was created by Brainscape user Erin McLaughlin. Visit their profile to learn more about the creator.
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Erin McLaughlin
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Decks in this class (16)
Equities Questions
The board of directors of a compa...,
Which of the following are functi...,
Abc corporation has declared a ca...
4
cards
Debt Questions
Trades of us government bonds settle,
Trades of corporate and municipal...,
Accrued interest on us government...
134
cards
Debt-CM
Which of the following statements...,
Which of the following statements...,
Which of the following securities...
84
cards
Investment Companies
Investment company act of 1940,
Face amount certificate company,
Management company
78
cards
Investment Companies Questions
An open end fund has a net asset ...,
Which of the following funds must...,
The minimum price at which a clos...
13
cards
Trading Markets
Regulation sho,
All or none,
Fill or kill
154
cards
Trading Market Questions
He individuals who make a seconda...,
A market maker that compensates a...,
The sec regulation that requires ...
74
cards
Options
To protect a long stock position ...,
To protect a short stock position...,
To protect a long stock from a fa...
173
cards
Option Questions
Buying a put on a stock position ...,
Which of the following option pos...,
A customer buys 100 shares of abc...
79
cards
Customer Account
Arbitration agreement,
Bcp plan,
Sipc
146
cards
Customer Account Questions
Under finra rules all of the foll...,
When recommending fee based accou...,
A customer has an existing cash a...
10
cards
Retirement Plans
Fixed annuity,
Who assumes the investment risk i...,
Variable annuity
83
cards
Corporate Underwritings
Firm commitment,
Best efforts,
Managing underwriter
82
cards
Regulations
Securities act of 1933 applies to,
Registration under sec 33 must be...,
Registration statement includes
173
cards
Taxes
Earned income,
Earned income max tax rate,
Portfolio income
38
cards
BRIT Suitability
Benfits of common sotkc,
Risks of common stock,
Typical investor of common stock
51
cards
More about
Series 7
- Class purpose General learning
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