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Series 7

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

By: Elijah Pinkevich
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Decks in this class (20)

CHAPTER 1 - NEW ISSUES MARKET
Primary market 1,
Ipo vs apo 2,
Secondary market 3
99  cards
CHAPTER 2 - EQUITY SECURITIES
Authorized stock 1,
Issued stock 2,
Outstanding stock 3
56  cards
CHAPTER 3 - CHARACTERISTICS OF DEBT SECURITIES
Bonds 1,
Indenture 2,
Coupon rate 3
43  cards
CHAPTER 4 - CORPORATE BONDS
Secured debt 1,
Unsecured debt 2,
Mortgage bonds 3
39  cards
CHAPTER 5 - MUNI SECURITIES
How are muni bond usually priced ...,
Basis points ytm 2,
7s 35 at 75 3
113  cards
CHAPTER 6 - US TREASURY AND GOVERNMENT AGENCY SECURITIES
T bills 1,
T notes 2,
T bonds 3
25  cards
CHAPTER 7 - INVESTMENT COMPANIES
Investment company 1,
Types of investment companies 2,
Nav 3
97  cards
CHAPTER 8 - INSURANCE COMPANY PRODUCTS
Annuities 1,
Fixed annuities 2,
Variable annuities 3
45  cards
CHAPTER 9 - OPTIONS
Option contract 1,
Two parties 2,
Long position 3
100  cards
CHAPTER 10 - OTHER PACKAGED PRODUCTS
Reits 1,
3 types of reits 2,
Benefits and risks of reits 3
49  cards
CHAPTER 11 - OTHER SECURITIES PRODUCTS
Hedge fund structure 1,
Hedge fund characteristics 2,
Lock up provisions 3
17  cards
CHAPTER 12 - SUITABILITY INFORMATION AND APPROVALS
Financial investment consideratio...,
Balance sheet 2,
Income statement 3
39  cards
CHAPTER 13 - TYPES OF ACCOUNTS
Cash account 1,
Margin account 2,
Fee based account 3
80  cards
CHAPTER 14 - TYPES OF RISK AND REQUIRED DISCLOSURES
Systematic risk 1,
Market risk 2,
Interest rate risk 3
23  cards
CHAPTER 15 - PORTFOLIO OR ACCOUNT ANALYSIS AND APPLICATION TO SECURITY SELECTION
Diversification asset classes 1,
Strategic asset allocation 2,
Tactical asset allocation 3
50  cards
CHAPTER 16 - TYPES OF ORDERS AND QUOTATIONS
Price restricted orders 1,
Market order 2,
Limit order 3
87  cards
CHAPTER 17 - PROCESSING TRANSACTIONS
Order memorandum 1,
Report of execution 2,
Nasdaq quotation service 3
39  cards
CHAPTER 18 - HANDLING CUSTOMER ACCOUNTS
Customer confirmations 1,
Trade confirmation 2,
When must confirmation be deliver...
41  cards
CHAPTER 19 - COMMUNICATIONS WITH PUBLIC
Finras conduct rules 1,
Securities principals levels 2,
Correspondence 3
43  cards
CHAPTER 20 - COMPLAINT RESOLUTION
Form u4 1,
Qualifications investigated 2,
Disclosure reporting pages drps 3
29  cards

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Series 7

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Looking for something else?

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!
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