This class was created by Brainscape user Terrence Leffall. Visit their profile to learn more about the creator.
By:
Terrence Leffall
- decks
- flashcards
- learners
Decks in this class (23)
Knowledge Of Capital Markets
A negotiable instrument issued by...,
The price a seller is willing to ...,
The price a buyer is willing to p...
16
cards
Knowledge of Capital Markets
A large trade or order equal to 1...,
An electronic system that reports...,
The highest price a buyer will pa...
10
cards
Knowledge of Capital Markets
The gradual reduction in the valu...,
A firm that effects securities tr...,
A security that is backed by a sp...
11
cards
Understanding Products And Their Risks
Price at which a convertible bond...,
Formula that determines the numbe...,
Unsecured bonds backed only by th...
14
cards
Understaning Products And Their Risks 2
From latin for according to value...,
Securities issued only as electro...,
A bond that can be redeemed or pa...
9
cards
Understanding Products And Their Risk 3
Pessimistic market sentiment char...,
Optimistic market sentiment chara...,
A financial contract with a value...
14
cards
Understanding Products And Their Risks 4
Income after all taxes are deducted,
Not subject to an obligation,
The ease with which an asset can ...
7
cards
Understanding Trading, Customer Accounts And Prohibited Activities
A trader without inside informati...,
The original purchase price of a ...,
The feeling or tone of the market...
14
cards
Overview of The Regulatory Framework
A faster and less expensive alter...,
The misappropriation of funds by ...,
A fee paid to someone who acts as...
9
cards
Regulatory Entities, Agencies and Market Participants Quiz
If a cpa also provides investment...,
Who obtains the cusip for a munic...,
All of the following are consider...
41
cards
Types Of Markets And Offerings Quiz
A guaranteed bond is one that is ...,
After a company has streamlined i...,
Jack owns a small manufacturers g...
56
cards
Economic Factors Quiz
Who approves the fiscal policy of...,
The theory that reducing taxes an...,
Which best describe the federal f...
54
cards
Equity Securities Quiz
An american investor that would l...,
A corporation has issued 10 milli...,
A shareholder owns 200 shares of ...
42
cards
Debt Instruments Quiz
A municipality has issued a doubl...,
Which of the following statements...,
On a discount bond which of the f...
49
cards
Options And Variable Products Quiz
Unless instructed to the contrary...,
What is the total premium for the...,
Your client has a portfolio of tr...
67
cards
Investment Companies Quiz
The average investor has limited ...,
Which of the following investment...,
Which of the following is a chara...
70
cards
Municipal Fund Securities Quiz
The syndicator of a limited partn...,
Xyz limited partnership is seekin...,
What should an investor consider ...
28
cards
Trading Settlement, And Corporate Actions Quiz
Internal procedures which limit a...,
The liquidity of an investment is...,
Which of the following statements...
54
cards
Customer Accounts And Compliance Consideration Quiz
An investment adviser representat...,
What is the annual exclusion amou...,
Which of the following is true re...
72
cards
Test 1
All of the following apply to a r...,
Which of the following statements...,
The msrbs anti money laundering r...
33
cards
Test 2
Realized appreciation is,
A legal entity that offers securi...,
The fed fund rate is the interest...
32
cards
Test 3
Which of the following are issued...,
Some securities are exempt from t...,
Which of the following is true re...
33
cards
Test 4
Terry has a client penelope who w...,
With regard to sales breakpoints ...,
The holder of a call option on a ...
27
cards
More about
SIE
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Terrence Leffall's SIE flashcards 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?
SIE Exam
- 14 decks
- 1,499 flashcards
- 11,753 learners
Decks:
Equity Securities, Debt Securities, Types Of Bonds, And more!
PFS SIE
- 97 decks
- 3200 flashcards
- 38 learners
Decks:
Official Flash Cards, Unit 1 Qbank, Unit 1 Checkpoint Exam, And more!
SIE
- 20 decks
- 1649 flashcards
- 17 learners
Decks:
Ch 1 Overview Of Market Participants And, Ch 2 Overview Of Regulation, Ch 3, And more!
