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series 53

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

By: Charles Amadio
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Decks in this class (19)

Fixed Income Overview
Coupons quoted,
Bond priced above par premium quoted,
Bond priced below par discount qu...
63  cards
Fixed income overview part 2
Prepaid tuition unit plans,
Prepaid tuition contract plans,
Prepaid tuition and inflation
45  cards
General Supervision
New account info collectiondue date,
New account info no recomendations,
New account info sutiability
33  cards
Chapter 3
Msrb rule g 17,
Msrb rule g 28,
Msrb municipal firm registration
52  cards
chapter 3 deck two
Annual reviewitems,
Principal designation records ret...,
Discipline firm
52  cards
formulas
Yield as a basis point,
Convexity measures,
Duration measures
36  cards
chapter four
Securities act of 33,
Main provisions of securities act...,
Sec rule 15c2 12 official statement
62  cards
chapter five
When as if issuedsettlement expli...,
Early delivery,
Settlement expenses
71  cards
video Notes
Dodd frank objective,
Sipc account valuation date,
Sipc net equity calc
25  cards
test 1
F the clearing agent is not itsel...,
Who is not considered to be an as...,
The term order period refers to
30  cards
test 2
If securities purchased in a nego...,
Where do notices of sale appear,
529 advisory activities require
29  cards
s ch1 & 2 notes
Who enforces msrb rules,
Bank activity not covered by msrb,
Periodic compliance examinations
44  cards
s ch2 continued
Taping,
Market discount rule,
Original issue discount bonds
30  cards
s 4
Spreadformal definition,
Management fee,
Takedown
47  cards
s 5
Joint account secondary market tr...,
A bid wanted auction involves the...,
Brokers brokerreceives erroneous bid
36  cards
s 6
Customer confirmations,
The following identification info...,
The following descriptive informa...
27  cards
Pre tests 1-3
Certificate for a municipal secur...,
Dealer to dealer confirmations,
Offerings of discount bonds must ...
30  cards
T 4
Purchaser executes a close out,
Employee opening an account that ...,
Advertising related to os
29  cards
training 1
Principal minimum employees for 1,
Rule priority sec vs msrb,
U4 disclosure time frame for revo...
29  cards

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series 53

  • Class purpose General learning

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