Buying in puts and calls=
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going long
Computing the Sales Charge Percentage
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1)POP - NAV = sales charge ($ amount)
2)Sales charge ($ amount)/ POP = sales charge %
3)(NAV)/100$-sales charge % = POP
Right of Accumulation (ROA)
pg 189 for ex
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like LOI, allow investor qualify for reduced sales hargeby reaching
breakpoint
allow investor use prior share appreciation & reinvestment to qualify for
breakpoints
do not impose limits
All qualified retirement plans are either....?
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defined benefit or defined contribution
SAR (Suspicious Activity Report)
deadline to file?
,protection?
amount limit?
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must file w treasury departments financial crimes enforcement network
(Fin(EN)) whenever customer activity appears out of ordinary or illegal
30 calendar days
protected from civil liability
required 2 file suspicious 2,000+
investment grade bonds must be
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atleast Baa, BBB
Are REITs DPP?
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NOOOO
Income Statement
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shows account profit/loss for period
, revenues/expenses profits/loss
Primary Market
regulated by which act?
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new issue market
issuer benefits from sales
securities sold at fixed price
physical location necessary (EX. NASDAQ
regulatd by securities act 1933
Continuing Education
Regulatory Element
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All registered persons are required to participate in Regulatory element
training on the within 120 days of second anniversary of their initial
securities registration and every three years hereafter.
if not completed license become inactive
Underwriting Syndicate
Give this one a try later!
Give this one a try later!
going long
Computing the Sales Charge Percentage
,Give this one a try later!
1)POP - NAV = sales charge ($ amount)
2)Sales charge ($ amount)/ POP = sales charge %
3)(NAV)/100$-sales charge % = POP
Right of Accumulation (ROA)
pg 189 for ex
Give this one a try later!
like LOI, allow investor qualify for reduced sales hargeby reaching
breakpoint
allow investor use prior share appreciation & reinvestment to qualify for
breakpoints
do not impose limits
All qualified retirement plans are either....?
Give this one a try later!
defined benefit or defined contribution
SAR (Suspicious Activity Report)
deadline to file?
,protection?
amount limit?
Give this one a try later!
must file w treasury departments financial crimes enforcement network
(Fin(EN)) whenever customer activity appears out of ordinary or illegal
30 calendar days
protected from civil liability
required 2 file suspicious 2,000+
investment grade bonds must be
Give this one a try later!
atleast Baa, BBB
Are REITs DPP?
Give this one a try later!
NOOOO
Income Statement
Give this one a try later!
shows account profit/loss for period
, revenues/expenses profits/loss
Primary Market
regulated by which act?
Give this one a try later!
new issue market
issuer benefits from sales
securities sold at fixed price
physical location necessary (EX. NASDAQ
regulatd by securities act 1933
Continuing Education
Regulatory Element
Give this one a try later!
All registered persons are required to participate in Regulatory element
training on the within 120 days of second anniversary of their initial
securities registration and every three years hereafter.
if not completed license become inactive
Underwriting Syndicate
Give this one a try later!
