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Series 65 flashcards

Wills Series 65

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

By: Carl Ton
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Decks in this class (12)

Get Some
A mutual fund portfolio returned ...,
An investment adviser is not requ...,
If the yield curve is inverted i ...
93  cards
Get some more
1 a client buys a bat july 40 put...,
3 sam was having difficulty selli...,
4 stanley passes away leaving mos...
113  cards
GET SOME TRES
3 in a custodian account the resp...,
4 which of the following is true ...,
8 vera is an agent at dewey secur...
97  cards
Quattro
2 which of the following is not a...,
5 money market fund returns will ...,
6 in september tatum sells her st...
104  cards
Cinco
1 which of the following is not a...,
2 an employee quits her job where...,
3 which of the following is not a...
111  cards
Series 65 Terms & Definitions
Form 13f,
Form u 2,
Bankers acceptances
161  cards
65 Definitions Deux
Common stock,
Define statutory voting,
Define cumulative voting
122  cards
Latter Parts
State blue sky laws what when where,
Securities act of 1938,
Securities exchange act of 1934
90  cards
Testing Time
2 buy 200 shares of xyz at 35 sel...,
8 finra requires which of the fol...,
9 concerning minimum net worth re...
150  cards
Test Time 26th
1 when an agent of a broker deale...,
2 a us government bond quoted at ...,
4 a buy and hold approach to port...
260  cards
Readiness Exam #1
When is an investment adviser rep...,
An investor purchased 10 000 shar...,
An investor purchased 10 000 shar...
239  cards
Readiness Exam #2
Under labor department regulation...,
Under the uniform securities act ...,
If an adviser has custody of a cl...
168  cards

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Wills Series 65

  • Class purpose General learning

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