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Series 7 Top-off Exam flashcards

series 7 take 2

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

By: chris foster
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Decks in this class (17)

equity securities
4 phases of common stock and defi...,
Voting methods of common stockhol...,
Dividends are payable as
46  cards
debt securities
What is the bond yield order,
Interest on debt securities is pa...,
One point
91  cards
municipal securities
What is the definition of a munic...,
What are the two main types of mu...,
Go bonds are backed by
83  cards
options
2 parts to a options contract,
Describe buyer of an options cont...,
Describe seller of an options con...
82  cards
customer accounts
What form is required for all new...,
When must a copy of new account f...,
How often must a firm verify acco...
21  cards
margin accounts
Purpose of a margin account,
Who regulates the extension of cr...,
What are the eligible marginable ...
35  cards
issuing securities
Underwriter broker dealer is reta...,
What is the securities act of 1933,
Describe process of registering a...
46  cards
trading securities
What are the 4 secondary trading ...,
Describe exchange trading,
Describe over the counter trading
36  cards
brokerage support services
What is regular way settlement fo...,
What is regular way settlement fo...,
Cash settlements for corporate mu...
7  cards
investment company products
3 types of investment companies,
Describe a uit,
Describe a management company
44  cards
retirement plans
What are the two main types of re...,
What are the main types of qualif...,
Irs approval is required for what...
27  cards
variable annuities
What is a variable annuity,
How are variable annuities funded,
Earnings received on a variable a...
17  cards
direct participation programs
What is a direct participation pr...,
All tax consequences of ddps flor...,
What is reportable to the irs
21  cards
economics and analysis
Gdp,
Cpi,
Describe an ideal economy
53  cards
us government rules and regulations
Principal of a firm must review a...,
Securities and exchange act of 1934,
Trust indenture act of 1939
17  cards
percentages
25,
1,
5
12  cards
calendar days to know
Same business day,
1 business day,
2 business days
13  cards

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series 7 take 2

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