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Series 7 Top-off Exam flashcards

Series 7 Exam

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

By: Justin Paradis
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Decks in this class (14)

Chapter 1 – Equity Securities
Steps in regular way stock settle...,
Steps in cash settlement for stock,
Rights versus warrants
67  cards
Chapter 2 - Issuing: Primary Market
Registration statement,
Deficiency letter from the sec,
Final prospectus or statutory pro...
60  cards
Chapter 3: Trading - Secondary Market
Broker dealer,
Elements of an order ticket,
Regulation sho
63  cards
Chapter 4: Debt Instruments
Moody s and s p s ratings,
Credit risk,
Inflation risk
98  cards
Chapter 5: Options Trading
Long position,
Short position,
In the money at the money out of ...
45  cards
Chapter 6: Customer Accounts
Cash account requirements,
Cash account broker dealer respon...,
Cash account making purchases
57  cards
Chapter 7: Investment Companies
Transfer agent mutual fund,
Class a shares sales load,
Class b shares sales load
102  cards
Chapter 8: Direct Participation Programs
Direct participation programs dpps,
General partnership,
Limited partnership
27  cards
Chapter 10: Retirement Plans and Other Tax Advantaged Accounts
Qualified plans,
Nonqualified plans,
Qualified vs nonqualified plans
43  cards
Chapter 11: Analysis
Fundamental analysis,
Keynesian theory,
Supply side economics
50  cards
Chapter 12: regulations
Sec,
Finra,
The four categories of finra rules
57  cards
End: Focused Review
Balance sheets,
Debit spreads,
Credit spreads
4  cards
MSRB Addendum: Chapter 12
Msrb basics,
Firm employees who must be regist...,
Msrb disclosure rules
36  cards
Chapter 9: insurance contracts
Characteristics of fixed annuities,
Characteristics of variable annui...,
Common characteristics of fixed a...
57  cards

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Series 7 Exam

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