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SIE Test

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

By: Elijah Pinkevich
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Decks in this class (19)

CHAPTER 1
What are and what are not securit...,
How do companies raise money 2,
Authorized stock 3
22  cards
CHAPTER 2
Adr 1,
Advantages and disadvantages of a...,
Section 144 stock rules 3
27  cards
CHAPTER 3
Term bonds 1,
Sinking fund 2,
Serial bonds 3
33  cards
CHAPTER 4
Investment company act of 1940 de...,
Face amount certificates 2,
Uits 3
37  cards
CHAPTER 5 - OPTIONS
Options clearing corporation 1,
Expiration of contracts 2,
Typical quote look 3
20  cards
CHAPTER 6
Municipal fund securities and wha...,
What must 529 plans be accompanie...,
Two types of 529 plans 3
30  cards
CHAPTER 7
Primary market 1,
What sets the rules for the prima...,
What is the disclosure document f...
41  cards
CHAPTER 8
Primary market 1,
Secondary market 2,
What is the secondary market regu...
46  cards
CHAPTER 9
Who makes the corporate resolution 1,
When can certain entities trade o...,
Individual account 3
36  cards
CHAPTER 10 - RETIREMENT ACCOUNTS
Iras were authorized by what law 1,
Rules of iras 2,
What can ira invest in 3
14  cards
CHAPTER 11 - ACCOUNT FEATURES
Cash trading vs margin trading 1,
Cash accounts 2,
Regular way vs regulation t settl...
27  cards
CHAPTER 12 - ECONOMICS AND ANALYSIS
Business cycle 1,
Contraction features 2,
Trough features 3
49  cards
CHAPTER 13 - INVESTMENT RETURNS AND INVESTMENT TAXATION
Current yield 1,
Adjusted cost basis 2,
Flat position 3
15  cards
CHAPTER 14 - MAKING RECOMMENDATIONS
Xsystematic risk 1,
Types of systematic risk 2,
Market risk 3
30  cards
CHAPTER 15 - REGISTRATION AND CONTINUING EDUCATION
Form u4 1,
Info that u4 includes 2,
Info that u4 does not include 3
26  cards
CHAPTER 16 - GOVERNMENT REGULATORS AND REGULATIONS
What was the sec created by 1,
What is the securities industry p...,
What does the sec do 3
36  cards
CHAPTER 17 - SELF-REGULATING ORGANIZATIONS
Who is the largest sro 1,
What does finra do 2,
Finra purpose and objectives 3
17  cards
CHAPTER 18 - COMMUNICATIONS
General rules for all public comm...,
Three categories of communication 2,
Institutional communication 3
23  cards
CHAPTER 19 - BUSINESS ETHICS
Market manipulation 1,
Market manipulation of actively t...,
Market rumors 3
12  cards

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SIE Test

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