This class was created by Brainscape user Antonella Vera. Visit their profile to learn more about the creator.
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Antonella Vera
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Decks in this class (20)
Unit 1 - Offerings
What competitive bid on a new mun...,
Which bid will win on a new muni ...,
Who is responsible for filing reg...
31
cards
Unit 2 - Equities Securities
Must you be a current stockholder...,
Stock rights and warrants compare...,
Life of warrants vs rights 3
23
cards
Unit 3 - Debt Securities
Current yield 1,
A long term debt instrument issue...,
Debt normally issued by big corpo...
9
cards
Unit 4 - Corporate Bonds
What are corporate debt securities 1,
What are secured debt securities ...,
How does the interest payment pri...
44
cards
Unit 5 - Municipal Securities
Refinancing an existing municipal...,
How are municipal bonds typically...,
What does a bond quoted at a 378 ...
26
cards
Unit 6 - U.S. Treasury and Government Agency Securities
In general the interest that gove...,
What type of securities are consi...,
What is considered the safest inv...
7
cards
Unit 7 - Investment Companies
0
cards
Chapter 8 - Insurance Company Products
Blank 1
1
cards
Chapter 9 - Options
0
cards
Unit 10 - Alternative Products
The rights and liabilities of gen...,
From first to last which of the f...,
Direct participation refers to 3
9
cards
Unit 11 - Other Securities Products
Common cmo types include 1,
Assets are pooled into financial ...,
If interest rates fall 3
7
cards
Unit 20 - Complaint Resolution
Blank 1
1
cards
Unit 19 - Communications With the Public
0
cards
Unit 18 - Handling Customer Accounts
0
cards
Unit 17 - Processing Transactions
New issues of municipal securitie...,
If a confirming broker dealer rec...,
The least transparency exists whe...
4
cards
Unit 16 - Types of Orders and Quotations
The requirement for a bd to locat...,
Sell order tickets must be 2,
The locate requirement is applica...
7
cards
Unit 15 - Portfolio or Account Analysis
0
cards
Unit 14 - Types of Risk and Required Disclosures
Regulation fd covers 1,
An active and widespread solicita...,
Why do bidders conduct tender off...
17
cards
Unit 13 - Types of Accounts
0
cards
Unit 12 - Suitability Information and Approvals
0
cards
More about
Series 7
- Class purpose General learning
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Series 7 by Chapter
- 24 decks
- 1348 flashcards
- 105 learners
Decks:
Annuities And Variable Products, Complex Options Strategies, Corporate Debt Securities And Money Mark, And more!
Series 24 Group Share
- 42 decks
- 2929 flashcards
- 173 learners
Decks:
Fc Chapter 1, Fc Chapter 2, Fc Chapter 3, And more!
