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SIE Exam flashcards

SIE Exam

This class was created by Brainscape user Kathryn O'Connell. Visit their profile to learn more about the creator.

By: Kathryn O'Connell
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Decks in this class (13)

Unit 1: Primary Markets and Secondary Market Trading
Issuers sell to investors in orde...,
Investors sell securities to inve...,
_____ of the securities receives ...
126  cards
Unit 2 Equity Securities
_______ represent ownership in a ...,
Common stocks are called ____ bec...,
Investors who buy common stock ar...
103  cards
Unit 3 Debt Securities
Debt securities come in a number ...,
In debt securities the _____ owes...,
The characteristics of a bond
110  cards
Unit 4: Investment Company and Insurance-Based Products
An ____ is a corporation or trust...,
Investment companies are subject ...,
Investment companies must abide b...
92  cards
Unit 5: Other Investment Vehicles
Options contracts are a type of _...,
A derivative is a contract that d...,
Options contracts offer investors...
158  cards
Unit 6: Customer Accounts
An ______ account has one benefic...,
In a joint account two or more ad...,
Types of non qualified accounts
78  cards
Unit 7 Risk and Recommendations
_____ is the risk that changes in...,
No matter how diversified a portf...,
Types of systematic risk
55  cards
Tax and Yields
___ is a measurement of the amoun...,
______ may apply to both stocks a...,
The formula for cy
39  cards
Missed Test Questions
A letter of intent may be backdat...,
A company that is extensively ove...,
A client buys stock on monday aug...
21  cards
Unit 9: Economics
Four stages or phases of a busine...,
Downturns contractions in the bus...,
A trough is characterized by
124  cards
Unit 10 Regulators
Created under the _____ the secur...,
Broker dealers bds that transact ...,
The _____ regulates all exchanges...
84  cards
Unit 11 Regulatory Issues and Ethics
The _____ established the us trea...,
The three stages of money laundering,
The first stage of laundering ___...
75  cards
Unit 12: Joining and Leaving a Member Firm and OngoingExpectations
In order to become associated wit...,
Form u4 is extensive and includes,
What is not included on the fornm u4
48  cards

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SIE Exam

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