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ashley mary
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Decks in this class (15)
Securities
American depositary receipts,
Reits,
Rights
25
cards
Securities 2
Liquidation priority,
Treasury receipts,
Treasury strips
27
cards
Securities 3
Eurodollar deposits,
Euro bonds,
Eurodollar bonds
25
cards
Securities 4
Management company,
Open end company,
Closed end company
26
cards
Securities 5
Qualified retirement plan,
Nonqualified retirement plan,
Qualified plans
26
cards
Securities 6
Fill or kill fok,
Immediate or cancel ioc,
All or none aon
26
cards
Securities 7
Telephone consumer protection act...,
Bank secrecy act,
Sarbanes oxley act of 2002
27
cards
Securities 8
Same business day,
1 business day,
2 business days
13
cards
Issuing Securities
A company without business operat...,
Which of the following are define...,
A member firm receives an order f...
54
cards
Brokerage Support Services
In a sellers option securities ma...,
Under finra rules delivery on a s...,
All of the following statements r...
16
cards
Investment Company Products
Letters of intent may be backdate...,
All of the following describe the...,
Under the investment company act ...
52
cards
Municipal Securities
The bond placement ratio as shown...,
Who has the final responsibility ...,
All of the following deal with th...
100
cards
Ethics & Taxation
A customer owns 10m of 7 us treas...,
A customer buys a municipal bond ...,
A married couple who files jointl...
71
cards
Trading Securities
Earlier in the day you entered a ...,
Your client has entered a limit o...,
In a proceeds transaction for a c...
60
cards
Economics
Which of the following is not aff...,
If a company issues 10 million in...,
Which of the following would you ...
50
cards
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series 7
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