This class was created by Brainscape user Rebz Gonzalez. Visit their profile to learn more about the creator.
By:
Rebz Gonzalez
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Decks in this class (16)
Ch. 1 Equities
What is the calculation for marke...,
What term would apply to treasury...,
How do you calculate shares outst...
33
cards
Ch. 2 Debt Fundamentals
Which of the following statements...,
Which of the following is true re...,
Which of the following is true re...
35
cards
Ch. 3 Bond Features and Risks
A premium bond which of the follo...,
Which part does not have interest...,
For bonds trading at a premium ra...
31
cards
Ch. 4 Corp. Gov. And Agency Bonds
Conversion ratio _________ ______...,
Parity price of bond conversion r...,
Parity price of stock current bon...
34
cards
Ch. 5 Municipal Debt And MM
Who typically selects the underwr...,
In a competitive offering how is ...,
Which document must be provided t...
30
cards
Ch. 6 Packaged Products
Management companies are either _...,
The defined types of investment c...,
In a closed end investment compan...
48
cards
Ch. 13 Retirement & Education Plans
If an individual is not covered b...,
Who is eligible to contribute to ...,
If an individual is covered by a ...
36
cards
Ch. 7 Trading Markets
First market covers the trading o...,
Exchanges are self regulated orga...,
Consolidated quotation system cqs...
19
cards
Margin
The three major components of a m...,
Minimum maintenance call is ____ ...,
Restricted status is when the mar...
6
cards
Ch. 8 Trading Processing And Settlement
Order tickets must specify the fo...,
Spoofing is when a trader tries t...,
Trace trade reporting and complia...
27
cards
Ch. 9 Fundamentals of Options
Stock options contracts are _____...,
Maximum life of a regular stock o...,
Opening purchases and opening sal...
19
cards
Ch. 12 Other Account Types
A short account has __________ ri...,
A customer s margin account shows 2,
If a customer account is frozen p...
9
cards
Ch. 15 Act Of 1934 & Other Regulations
A dealer placing an order based o...,
Trading ahead of customer limit o...,
Trading a security to create the ...
29
cards
Ch. 16 Self Regulated Organization SRO
Finra provides registration and l...,
Complaints and claims for damage ...,
A registered person associated wi...
26
cards
Ch. 10 Index Options And Advanced Options Strategies
Long term equity anticipation sec...,
Etfs are securities that track a ...,
Stock indexes are not _______ for...
26
cards
Ch. 18 Taxation
Passive income includes real esta...
1
cards
More about
Series 7
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