Shared Flashcard Set

Details

Series 26
Sales Practices
40
Finance
Professional
04/19/2005

Additional Finance Flashcards

 


 

Cards

Term
Security Act '33 Section 10
Definition
Information Required in Prospectuses
Term
SEC Rule 425
Definition
no approval clause
Term
12B-1 fee
Definition
???
Term
Security Act '33 Section 12
Definition
Civil Liabilities in Connection with Prospectuses and Communications
Term
Rule 134
Definition
Communication not Deemed a Prospectus (tombstone ads)
Term
Rule 135A
Definition
Generic Advertising
Term
Rule 156
Definition
Investment Company Sales Literature
Term
Rule 156
Definition
Prohibition of Misleading Sales Literature
Term
Rule 482
Definition
Advertising by an Investment Company as Satisfying Requirements of Security Act '33 Section 10
Term
Investment Company Act of '40 Rule 34b-1
Definition
Sales Literature Deemed to be Misleading
Term
NASD Conduct Rule 2110
Definition
Standards of Commercial Honor and Principles of Trade
Term
NASD Conduct Rule 2120
Definition
Use of Manipulative, Deceptive, or Other Fraudulent Devices
Term
NASD Conduct Rule 2200
Definition
Communications with Customers and the Public
Term
IM-2210-2
Definition
Communications with the Public about Variable Life Insurance and Variable Annuities
Term
IM-2210-3
Definition
Use of Rankings in Invesstment Companies Advertisements and Sales Literature
Term
IM-2210-4
Definition
Limitations on Use of Association's Name
Term
IM-2210-5
Definition
Requirements for the Use of Bond Mutual Fund Volatility Ratings
Term
NASD Conduct Rule 2211
Definition
Telemarketing Requirements
Term
Securities Act '33 Section 5
Definition
Prohibitions Relating to Interstate Commerce and the Mail
Term
Rule 153a
Definition
Prospectus Delivery Requirements
Term
Securities Exchange Act '34 Section 10
Definition
Regulation of the Use of Manipulative and Deceptive Devices
Term
Securities Exchange Act '34 Section 10b-5
Definition
Employment of Manipulative and Deceptive Devices
Term
Securities Exchange Act '34 Section 15
Definition
Registration and Regulation of Brokers and Dealers
Term
Securities Exchange Act '34 Section 15(C)(1)
Definition
Manipulative, Deceptive, or Fraudulent Devices or Contrivances
Term
Securities Exchange Act '34 Section Rule 15c1-1
Definition
Definitions
Term
Rule 15c1-2
Definition
Fraud and Misrepresentation
Term
Rule 15c1-3
Definition
Misrepresentation by broker and dealers as to registration
Term
Rule 15c1-7
Definition
Discretionary accounts
Term
Section 15(c)(2)
Definition
Fraudulent acts or practices and fictitious quotations
Term
Rule 15c2-8
Definition
Delivery of prospectus
Term
Investment Company Act '40 Section 35
Definition
Unlawful Representations and Names
Term
NASD Conduct Rule 2420
Definition
Dealings with Non-Members
Term
NASD Conduct Rule 2820
Definition
Variable Contracts of an Insurance Company
Term
NASD Conduct Rule 2830
Definition
Investment Company Securities
Term
NASD Conduct Rule 2310
Definition
Recommendations to Customers (Suitability)
Term
IM-2310-2
Definition
Fair dealing with Customers
Term
IM-2310-5
Definition
Suitability Obligations oto Institutions Customer
Term
NASD Conduct Rule 2330
Definition
Customers' Securities or Funds
Term
NASD Conduct Rule 2510
Definition
Discretionary Accounts
Term
IM-2830-1
Definition
Avoiding Breakpoint Sales
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