In The Beginning
Who Are you
Cocktail Anyone?
Alphabet Chaos
Dates and Laws
100
First Act
What is Securities Act of 1933
100
I cant use your P.O. Box I need something else
What is Physical Address
100
Has 80% Stock Funds, 20% Bond Funds
What is Young Investor
100
SAR
What is a Suspicious Activity Report
100
Regulates the primary market. Involves Issuer distributions Full Disclosure Red Herring
What is Securities Act of 1933
200
Three Part Mission of SEC
What are Protect Investors Maintain Fair, Orderly and Efficient Markets Facilitate Capital Formation
200
Has 80% Bond, 20% Stock
What is Senior Investor
200
IPO
What is an Initial Public Offering
200
Regulates the Secondary market. Created the SEC
What is Securities Exchange act of 1934
300
What act made the SEC
What is Securities Exchange act of 1934
300
3 things for a "Reasonable Effort"
What are Tax Payer ID (SSN) Occupation Associated with another firm
300
May be identified as Large-Cap, Mid-Cap or Small-Cap
What are Stocks
300
JTWROS
What is Joint Tenants with Right of Survivorship
300
Currency Transaction Reports (CTR) Suspicious Activity Reports (SAR) The newest of them all Bush
What is USA PATRIOT Act
400
Insider trading penalties for violation
What are Fines up to $5,000,000.00 Jail of 20 years
400
The 5 Things needed to Open an account
What Are Name Residence (Address) Is of Legal Age (Birthday is the WRONG Answer) Name Of RR Signature Of Partner
400
May be identified as Short-Term, Intermediate-Term or Long-Term
What are Bonds
400
SIPC
What is Securities Investors Protection Corporation
400
ABC Test Two This year
What is Investment Advisors Act of 1940
500
SEC can Also sue for ______ _______.
What is Treble Damages
500
Name 4 of the 8 additional things needed to make recommendations.
What are Other Investments Financial Situation and needs Tax Status Investment Objectives Experience Time Horizon Liquidity Needs Risk Tolerance
500
Bond A is paying 5% at a time when inflation is 3%. 2% is the _____ _____.
What is Real Return
500
NSMIA
What is National Securities Markets Improvement Act of 1996
500
Created NASD
What is The Maloney Act
Continue
ESC
Reveal Correct Response
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