1 of 412
Definition
municipal debt paid off with future revenues from municipal ventures
Give this one a try later!
straight (non-cumulative) preferred
revenue bonds
stock
, revenue anticipation notes
growth and income funds
(RANs)
Don't know?
2 of 412
Definition
creates the fund's structure and registers the fund with the SEC
Give this one a try later!
defined benefit plans investment adviser
fund sponsor transfer agent
Don't know?
3 of 412
Definition
IRS rule that requires funds to distribute at least 90% of their net
investment income to shareholders, passes taxation to shareholders,
"regulated" if engage in this
Give this one a try later!
, subchapter M (the conduit
section 401(k) distribution rules
rule)
capital gains tax regulations dividend reinvestment tax laws
Don't know?
4 of 412
Definition
age 50+ can contribute an additional $1000 per year
Give this one a try later!
catch-up provision traditional
when interest rates go up...
IRAs
high PE ratios grant anticipation notes (GANs)
Don't know?
, 5 of 412
Definition
NAV + sales charge
*if given in %, POP = NAV/(100%-SC%)
Give this one a try later!
2 types of pricing for mutual fund public offering price (POP)
net asset value (nav) qib (qualified institutional buyer)
Don't know?
6 of 412
Definition
represents total fund expenses; includes management fees,
custodian fees, legal fees, and administrative fees
efficient funds = low expense ratios
Give this one a try later!
loss ratio combined ratio
Definition
municipal debt paid off with future revenues from municipal ventures
Give this one a try later!
straight (non-cumulative) preferred
revenue bonds
stock
, revenue anticipation notes
growth and income funds
(RANs)
Don't know?
2 of 412
Definition
creates the fund's structure and registers the fund with the SEC
Give this one a try later!
defined benefit plans investment adviser
fund sponsor transfer agent
Don't know?
3 of 412
Definition
IRS rule that requires funds to distribute at least 90% of their net
investment income to shareholders, passes taxation to shareholders,
"regulated" if engage in this
Give this one a try later!
, subchapter M (the conduit
section 401(k) distribution rules
rule)
capital gains tax regulations dividend reinvestment tax laws
Don't know?
4 of 412
Definition
age 50+ can contribute an additional $1000 per year
Give this one a try later!
catch-up provision traditional
when interest rates go up...
IRAs
high PE ratios grant anticipation notes (GANs)
Don't know?
, 5 of 412
Definition
NAV + sales charge
*if given in %, POP = NAV/(100%-SC%)
Give this one a try later!
2 types of pricing for mutual fund public offering price (POP)
net asset value (nav) qib (qualified institutional buyer)
Don't know?
6 of 412
Definition
represents total fund expenses; includes management fees,
custodian fees, legal fees, and administrative fees
efficient funds = low expense ratios
Give this one a try later!
loss ratio combined ratio
