Series 7 by Chapter Flashcards

Decks in this Class (24):

• Annuities And Variable Products

  Annuities and Variable Products

  Sample Cards:

  what is the tax implication of the death,

  in an non qualified annuity how is a sin,

  what payout option requires the insuranc
  51 Cards
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• Complex Options Strategies

  Complex Options Strategies

  Sample Cards:

  an investors sells 1 bbo jan 70 call at,

  an investor sells 1 abc mar 30 call at 7,

  an investor buys 1 def may 50 call at 3
  135 Cards
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• Corporate Debt Securities And Money Mark

  Corporate Debt Securities and Money-Market Instruments

  Sample Cards:

  what is a step up long term cd,

  is an income bond appropriate for a clie,

  a bond convertible at 25 is trading at 1
  38 Cards
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• Customer Accounts Documentation

  Customer Accounts--Documentation

  Sample Cards:

  true or false sipc provides coverage for,

  name some of the different items found o,

  when do gifts become the property of the
  58 Cards
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• Customer Accounts Objectives And Tax Iss

  Customer Accounts--Objectives and Tax Issues

  Sample Cards:

  for a gain to be considered long term th,

  is a gift of 14 000 per person per year,

  if an asset was held for one year or les
  19 Cards
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• Direct Participation Programs

  Direct Participation Programs

  Sample Cards:

  what program generates no cash flow and,

  what benefit will a tax deduction provid,

  general partners must contribute at leas
  45 Cards
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• Economics And Suitability Summary

  Economics and Suitability Summary

  Sample Cards:

  what economic theory emphasizes governme,

  does the frb control monetary or fiscal,

  an owner of utility stocks preferred sto
  37 Cards
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• Equity Options Fundamentals And Basic St

  Equity Options--Fundamentals and Basic Strategies

  Sample Cards:

  sandra buys 1 abc dec 70 call at 4 later,

  consider the following stc may 60 call a,

  true or false a 60 put with the market a
  74 Cards
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• Equity Trading Markets

  Equity Trading Markets

  Sample Cards:

  if an investor is short stock a buy stop,

  order is entered to sell 1 000 abc at 50,

  trading on material non public informati
  95 Cards
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• Fundamental And Technical Analysis

  Fundamental and Technical Analysis

  Sample Cards:

  new card,

  is the dow jones industrial average cons,

  how would the issuance of stock affect a
  47 Cards
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• Fundamentals Of Debt Securities

  Fundamentals of Debt Securities

  Sample Cards:

  new card,

  into what does an issuer periodically se,

  when discussing a bond the ytm may also
  61 Cards
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• Fundamentals Of Equity Investments

  Fundamentals of Equity Investments

  Sample Cards:

  what is the tax consequence for an inves,

  existing stockholders receive ______ rig,

  if securities are inherited a beneficiar
  60 Cards
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• Industry Rules

  Industry Rules

  Sample Cards:

  according to finra rules list some of th,

  what actions may the hearing panel take,

  when a minor dispute is handled through
  55 Cards
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• Investment Companies And Other Packaged

  Investment Companies and Other Packaged Products

  Sample Cards:

  identify the acronym pop,

  a funds management fee is typically calc,

  is a reit a form of direct participation
  65 Cards
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• Margin

  Margin

  Sample Cards:

  a client buys stock on margin and makes,

  true or false short against the box is c,

  upon the purchase of an option regulatio
  75 Cards
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• Municipal Debt Securities Bond Types And

  Municipal Debt Securities--Bond Types and Tax Treatment

  Sample Cards:

  what is the net yield for an investor in,

  bonds subject to the amt will trade with,

  how does the dutch auction set the inter
  61 Cards
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• New Issue Marketplace For Equities

  New Issue Marketplace for Equities

  Sample Cards:

  a regulation a tier 1 exemption is permi,

  the highest price at which a stabilizing,

  true or false stabilization is designed
  56 Cards
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• Nonequity Options

  Nonequity Options

  Sample Cards:

  for most world currency quotes the decim,

  an investor buys an oex may 475 call at,

  what is the primary use of vix options
  32 Cards
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• Options Account Opening Procedures Taxat

  Options Account Opening Procedures, Taxation, and Trading Markets

  Sample Cards:

  julio bought a 75 call at 5 and later ex,

  jean bought an 80 put at 7 and later exe,

  jim has owned bnb stock for 9 months and
  49 Cards
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• Overview Of Financial Markets And Regula

  Overview of Financial Markets and Regulation

  Sample Cards:

  which department of a broker dealer hand,

  what is the primary purpose of the secur,

  what is finras primary objective
  9 Cards
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• Registered Representatives And Financial

  Registered Representatives and Financial Firms

  Sample Cards:

  a bd must file form u5 with finra when a,

  candidates who have failed a qualificati,

  in the process of opening an account for
  35 Cards
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• Retirement And Education Savings Account

  Retirement and Education Savings Accounts

  Sample Cards:

  true or false a withdrawal of up to 10 0,

  true or false required minimum distribut,

  true or false seps require employees to
  58 Cards
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• The Issuance Of Municipal Securities And

  The Issuance of Municipal Securities and MSRB Rules

  Sample Cards:

  the total takedown is made up of _______,

  what yield would be disclosed for a bond,

  is it mandatory for a municipal issuer t
  95 Cards
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• Us Government And Agency Debt Securities

  U.S. Government and Agency Debt Securities

  Sample Cards:

  a competitive bid placed at a treasury a,

  _______________ following the trade date,

  true or false t bills are quoted on a do
  38 Cards
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