Unit 9
Which stage of the business cycle is coincides with:
- Low unemployment
- Slowdown in inflation
-Slowing of GDP growth
- Steady Consumer Demand
The Peak
The purpose of FinCen
Prevent money laundering and promote national security
Minutes
Life time
CBOE
Chicago Board Options Exchange
Who gets in trouble for Insider trading
Both the tipper and Tippee
What type of indicator is - Changes in inventories of durable goods?
Leading indicators
Office of the comptroller of the currency mission
The mission of the comptroller is to ensure that national banks and federal savings association operate in a safe and sound manner
- Director of FDIC
Blotters
six years
Beta
Correlation to the overall market for a individual security
The 3 types of public communications. Rank them in amount of people sent to
1. Institutional communications
2. Retail communications
3. Correspondence
Acid Test Forumla
Current Assets - Liabilities / (LT debt+ Net Worth)
When did the FDIC get created
Designation of principals
six years
Alpha
The return in excess of a market or benchmark
Bounty for snitching on insider trading
Who is considered the father of monetarism (Monetary policy)?
Milton Friedman
Which legislation created the template for state securities laws
The Uniform Securities act (USA) of 1956
Order Tickets
three years
Debt Balance
The amount of money a customer owes a brokerage firm
When does a cold caller have to provide to prospects
Their name, their firms name, and the company telephone number or address
Repurchase agreements are part of which part of the money supply?
M2
NASSA stands for what?
North American Securities Administrators Association
Expense reports for T&E
Not required by FINRA
form 1040
The IRS form used to file individual income tax
USA Patriot Act requires that wires of this amount to retain records
$3,000