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SIE Study Guide (personal notes, Kaplan)

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

By: brandon demery
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Decks in this class (15)

Equity securities, other types of securities, & Corp. Actions
What is a security 1,
True or false stocks are consider...,
Fill in the blank __________ are ...
62  cards
Debt Securities
Corporations government entities ...,
Most debt securities have a par v...,
The date the investor receives th...
102  cards
Investment Companies
This act defines investment compa...,
Face amount certificates unit inv...,
A corporation or trust that pools...
62  cards
Options
Special type of security 1,
Pays a premium and receives the r...,
Seller 3
57  cards
Other Investment Types
municipal fund securities, partnerships, REITs, ETFs, and ETNs
58  cards
Issuing Securities
Primary Market, Underwriting New Issues, Underwriting Exemptions
90  cards
Trading Securities
Purpose of secondary markets, transactions on an exchange
117  cards
Customer Accounts and Basic Accounts
True or false in a tic account ea...,
What is the main feature of a jtw...,
Fill in the blank in a tenants in...
92  cards
Retirement accounts
Who may open and contribute to an...,
What is the catch up contribution...,
How can married couples contribut...
43  cards
Cash and Margin Accounts
What are the two ways securities ...,
What does a margin trade involve 2,
Who can open a cash account 3
83  cards
Business Cycles and the Economy
What is economics the study of 1,
What is the regular cycle that th...,
What are the four stages of the b...
152  cards
General Review
comprehensive study guide
151  cards
General Review II
Once filed a shelf registration i...,
Fill in the blank a _ order instr...,
True of false principal paid on a...
35  cards
Investment Returns and Taxation
What is yield in investment terms 1,
What does the term current yield ...,
What is dividend yield 3
35  cards
Risk, Suitability, and Recommendations
What is the definition of systemi...,
True or false non systemic risks ...,
Fill in the blank systemic risks ...
34  cards

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SIE Study Guide (personal notes, Kaplan)

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