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

Decks in this class (23)

Economics
Economoc indicators
1  cards
Unit 1 - Chapter 1 - Securities Regs
Under the the investment company ...,
Under the investment company act ...,
What is the difference between an...
64  cards
Unit 1 - Chapter 3B - Fed & State Regulation Of IA & RIAs
What does rule 204a 1 investment ...,
What should advisory firms includ...,
Define access peron
53  cards
Chapter 3 - Investment Companies And Life Insurance Products
What is an investment company,
What are face amount certificates,
Unit investment
13  cards
Unit 1 - Chapter 2 - State Regs Under the Uniform Securities Act
What is the name of the office or...,
What is a cease and desist order,
What is the stop order
118  cards
Section 2 - Investment Vehicles
Preemptive rights,
Right to sue for wrongful acts,
Stockholder rights
16  cards
Unit 1 - Chapter 3 - Fed & State Regulation of IA & IARs
What is the investment advisers a...,
What are the two primary purposes...,
Fidiciary
54  cards
Unit 2 - Session 4 - Types & Characteristics of Equity Securities
Common stock,
Preferred stock,
Property dividends
39  cards
Unit 2 - Session 5 - Fixed Income Securities / Valuation Methods
Indenture,
Long term debt,
What are the two types of governm...
45  cards
Unit 2 - Session 6 - Cash & Cash Equivalents
Cash equivalents,
Money market,
Treasury securities
9  cards
Unit 2 - Session 7 - Pooled Investments
Investment company,
What are the 3 types of investmen...,
Face amount certificate fac
45  cards
Unit 2 - Session 8 - Insurance-Based Products
Annuity,
Annuitant,
Fixed annuity
42  cards
Unit 2 - Session 9 - Types & Characteristics of Derivative Securities
Derivative securities,
Option,
Standardized terms of option cont...
25  cards
Unit 2 - Session 10 - Alternative Investments & Other Assets
Hedge funds,
Direct participation programs dpp,
Private placements
6  cards
Unit 3 - Session 11 - Basic Economics & Fin Reporting
Fiscal policy,
Monetary policy,
Keynesian economics
56  cards
Unit 3 - Session 12 - Methods of Quantitative Analysis
Time value of money,
Tmv example,
Future value
36  cards
Unit 4 - Session 14 - Type of Client
What is required when opening a n...,
Individual account,
Tenants in common tic
32  cards
Unit 4 - Session 15 - Client Profile
Examples of relevant non financia...,
Selection of specific types of in...,
To assess risk tolerance what sho...
15  cards
Unit 4 - Session 16 - Portfolio Mang., Styles, Strategies, & Techniques
Classes of asset allocation,
Standard asset allocation model,
Rebalancing
36  cards
Unit 4 - Session 17 - Tax Considerations
Regressive taxes,
Progressive taxes,
Earned income
50  cards
Unit 4 - Session 18
Cash account,
Margin accounts,
Documentation of a margin account
32  cards
Unit 4 - Session 19
Current yield on investment,
Total return,
Holding period
17  cards
Unit 4 - Session 20 - Retirement Plans & Edu Funding
Traditional ira contribution limits,
What does the irs consider as eli...,
What does the ira not consider as...
80  cards

More about
Solom

  • Class purpose General learning

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