This class was created by Brainscape user Donovan Kattner. Visit their profile to learn more about the creator.
By:
Donovan Kattner
- decks
- flashcards
- learners
Decks in this class (23)
All Q's
Joanne is a 50 year old woman who...,
A customer asks an rr for a recom...,
Which of the following choices is...
143
cards
Chapter 13
A corporation wants to sell 10 00...,
A corporation wants to sell 10 00...,
A corporation intends to sell 10 ...
3
cards
Chapter 17
A _____ order is placed above the...,
A _____ order is placed below the...,
A _____ is always placed below th...
28
cards
Chapter 1
Stock that pays higher than avera...,
In making a suitability determina...,
Two important consideration when ...
9
cards
Chapter 2
Vesting,
The right an employee gradually a...,
For a joint account how many acco...
14
cards
Chapter 3
Investment companies with self cr...,
An analyst is considered to be ma...,
_____ is responsible for authoriz...
10
cards
Chapter 4
Determining suitability principal...,
If an investor receives a stock d...,
When warrants are attached to bon...
10
cards
Chapter 5
The trust indenture act of 1939,
A normal positive ascending or up...,
A _____ indenture allows addition...
13
cards
Chapter 6
Advantages of buying convertible ...,
The value of two investments bein...,
The strike price for conversion o...
8
cards
Chapter 7
Direct debt,
Net direct debt,
In general _____ is only the gene...
17
cards
Chapter 8
Asset backed security,
The _____ tranche has the most pr...,
The _____ tranche has the most un...
6
cards
Chapter 9
An investor who cashes out mutual...,
The result of selling mutual fund...,
Moving assets from one fund famil...
25
cards
Chapter 10
An annuity that has a guaranteed ...,
An annuity that does not guarante...,
A variable annuity that begins pa...
9
cards
Chapter 11
Mortgage reits,
Equity reits,
Hybrid reits
26
cards
Chapter 12
Intrinsic value,
Time value,
A holder of a _____ will receive ...
22
cards
Chapter 13
A _____ syndicate is formed when ...,
Put the following four types of o...,
Competitive sale
27
cards
Chapter 14
Trade tickets correspondence conf...,
A written customer complaint is r...,
A change of address notification ...
14
cards
Chapter 15
Placement ratio indicates the,
Short interest theory,
A head and shoulders bottom forma...
28
cards
Chapter 16
Provides a stable indication of o...,
Represents the difference between...,
A companys ability to pay its cur...
15
cards
Chapter 18
If a clients equity falls below _...,
Document that allows a broker dea...,
A customer is using _____ when th...
17
cards
Chapter 19
For terms of good delivery munici...,
Reports trades in nasdaq and thir...,
An oats report tracks an order from
11
cards
Chapter 20
For arbitration claims of more th...,
In the case of an erroneous trans...,
The hearing panel may not impose ...
9
cards
Suitability
Suitable for investors seeking lo...,
Suitable for investors seeking st...,
Suitable for investors seeking lo...
69
cards
More about
Series 7 Top-Off
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Donovan Kattner's Series 7 Top-Off flashcards for their Colorado State University class now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Series 7 Top-off Exam
- 8 decks
- 1,521 flashcards
- 21,241 learners
Decks:
Communications With The Public New Issue, Customer Accounts Retirement Plans, Securities Products Suitability, And more!
Series 7 Top Off New Issues
- 3 decks
- 88 flashcards
- 6 learners
Decks:
Corporate Underwritings, Municipal Underwritings, Us Government And Agency Underwritings, And more!
Series 7
- 25 decks
- 864 flashcards
- 12 learners
Decks:
Equity Securities, Debt Securities, Equity Options, And more!
