Series 7 Stack
Quiz yourself by thinking what should be in
each of the black spaces below before clicking
on it to display the answer.
Help!
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| Capital Market | show 🗑
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| show | selling stocks and bonds
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| what is stock | show 🗑
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| how do bonds wprk? | show 🗑
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| show | stocks & bonds
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| who could be the issuers of bonds? | show 🗑
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| show | govet raises money to provide service to public.
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| show | primary & secondary
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| what is primary capital market? | show 🗑
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| show | IPO
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| show | corporations' 1st attempt to attract capital from financial institutions & general public
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| show | primary
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| show | Short-tm US govt debt w mty <1 year. High credit rating
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| show | Trading of fin instrumts btn investors
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| example of secondary capital mkt | show 🗑
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| does sec capital mkt have direct effect on issuer? | show 🗑
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| how does secondary capital mkt affect issuer? | show 🗑
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| what might have caused the great depression? | show 🗑
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| show | 1929
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| show | 1932, franklin roosevelt
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| what act resulted after great depression? | show 🗑
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| show | 1933
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| What does Securities Act do? | show 🗑
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| show | Primary
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| show | Info needed to make informed investmt decidions
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| show | rules to conduct on sales & mktg of securities
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| When was Securities Exchange Act? | show 🗑
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| show | Est. SEC & regulate domestic secs in prim & sec mkts + extnd credit in secs industry to Fed Res Board
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| What is SEC fn? | show 🗑
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| SRO | show 🗑
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| show | Enables creation of non-exchange SROs
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| show | 1938
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| Which Act enabled MSRB? | show 🗑
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| MSRB | show 🗑
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| show | 1975
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| NASD | show 🗑
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| show | 1939
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| show | Self regulatory organization for OTC
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| What did Trust Indenture Act do? | show 🗑
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| show | 1939
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| What is indenture? | show 🗑
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| What is Trustee? | show 🗑
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| show | 1940
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| show | Mandates mutual funds to register with SEC as Investment Investment Company
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| show | Mutual Funds are companies formed to pool investors' money & invest that in securities
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| show | 1940
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| show | Mandates firm managing assets of mutual funds as Investment Advisor
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| show | No, unless they charge separate fee for investment advise
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| show | Portfolio Manager of mutual funds
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| show | 1970
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| show | It is an insurance that covers customers of brokerage firms if they're insolvent
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| show | Employee Retirement Income Securities Act
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| ERISA year | show 🗑
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| What does ERISA do? | show 🗑
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| ERISA example | show 🗑
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| Securities Acts Amendments year | show 🗑
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| show | Created MSRB
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| show | It is SRO for firms doing transactions in muni securities.
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| show | No
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| How is muni transaction rules enforced? | show 🗑
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| show | Penalizes insider trading
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| Insider Trading Act year | show 🗑
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| show | Yes
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| show | No
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| What is the penalty of Insider Trading in '88 Act? | show 🗑
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| Federal Telephone Consumer Protection Act year | show 🗑
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| show | Cold Callers must have do not call list
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| show | 1991
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| What does Penny Stock Rule do? | show 🗑
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| What are Penny Stocks? | show 🗑
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Review the information in the table. When you are ready to quiz yourself you can hide individual columns or the entire table. Then you can click on the empty cells to reveal the answer. Try to recall what will be displayed before clicking the empty cell.
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To hide a column, click on the column name.
To hide the entire table, click on the "Hide All" button.
You may also shuffle the rows of the table by clicking on the "Shuffle" button.
Or sort by any of the columns using the down arrow next to any column heading.
If you know all the data on any row, you can temporarily remove it by tapping the trash can to the right of the row.
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Created by:
aymanm8
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