This class was created by Brainscape user m w. Visit their profile to learn more about the creator.
By:
m w
- decks
- flashcards
- learners
Decks in this class (18)
Unit 1: Equity Securities
Par value is a _____value,
Current liquidation of a share is...,
Supply and demand value is known ...
68
cards
Unit 2: Debt Securities
Have neither ownership interest i...,
_______ are considered senior sec...,
Corporate bonds with maturities o...
137
cards
Unit 3: Municipal Securities
__________securities offer invest...,
For municipal securities yield is...,
For municipal securities interest...
94
cards
Unit 4: Options
0
cards
Unit 5: Customer Accounts
An employee of another finra memb...,
All new accounts must be accepted...,
Firms must furnish each customer ...
55
cards
Unit 6: Margin Accounts
Through________ accounts investor...,
The ____________regulates margin ...,
__________ are required to impose...
43
cards
Unit 7: Issuing Securities
New securities are sold in the___...,
Three phases of an underwriting,
Participants in a corporate new i...
58
cards
Unit 8: Trading Securities
Trading of securities in the seco...,
The act of 1934 created the _____...,
The securities act of 1933 regula...
52
cards
Unit 9: Brokerage Support Services
_______ department sends proxy ma...,
_______ are used in interdealer t...,
The flow of an order through a br...
28
cards
Unit 10: Investment Company Products
Under which of the following circ...,
_______ are priced by supply and ...,
Many mutual fund distributions ar...
39
cards
Unit 11: Retirement Plans
This type of retirement plan is a...,
This type of retirement plan allo...,
This type of retirement plan was ...
58
cards
Unit 12: Variable Annuities
Tax deferred growth and lifetime ...,
_______ and mutual funds have man...,
_______ ________ are most often u...
33
cards
Unit 13: Direct Participation Programs
Illiquid investments that pass in...,
One of the most common types of dpps,
Three advantages of limited partners
63
cards
Unit 14: Economics & Analysis
Refers to governmental budget dec...,
The flow of money between the uni...,
Industries least affected by norm...
47
cards
Unit 15: Ethics, Recommendations and Taxation
For preservation of capital and l...,
Many investors particularly those...,
If current income on a monthly ba...
74
cards
Suitability Related Questions
A sophisticated investor wants to...,
A customer with a moderate income...,
An investor with a large salary a...
8
cards
Unit 16: U.S. Government & State Rules and Regulations
0
cards
Unit 17: Other SEC and SRO Rules and Regulations
0
cards
More about
Unit Questions
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study m w's Unit Questions 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?
UofG Medicine Question Bank 2020
- 42 decks
- 2980 flashcards
- 79 learners
Decks:
Integumentary System, Clinical Consequences, Cell Organelles Signalling Histology Phy, And more!
Unit 6
- 32 decks
- 1086 flashcards
- 10 learners
Decks:
Molecular Cellular Princ Med Hemoglobin, Molecular Cellular Princ Med Heme Synthe, Microscopic Anatomy Blood Ira Ames Sana, And more!
