Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Current yield
26:40 3 stages of money laundering. Placement. layering, and integration.
27:46 Backing away
28:32 Suspicious Activity Report (SAR)
29:05 Uniform Transfer to Minors Act (UTMA)
30:25 Step up in cost base to heirs
31:37 Discount bond
32:46 Foreign currency risk
34:46 Joint Tenants in Common (JTIC)
35:12 Between $2,000 and $4,000 customer must put up $2,000 in new margin account
35:45 Stock split NOT TAXABLE. Cash dividends are TAXABLE.
37:24 Maximum gift or gratuity employee of one member firm can give to employee of another member firm is $100
39:13 GNMA
40:24 Common stock junior in liquidation
41:22 Use of a stop order
43:00 Six calendar quarters of declining GDP is a depression
44:39 Warrants are long term and exercisable below current market price at issuance
45:57 Bonds less than BBB are less than investment grade
46:36 Protective put and long stock position
48:52 Bond at a premium
50:29 Forward pricing of open end mutual fund shares
51:31 Class A shares
52:12 Regular way settlement
53:12 Naked or uncovered call has UNLIMITED RISK!!!!
53:58 Letter of Intent (LOI)
55:05 Market maker definition
55:34 Cooling off period is a minimum of 20 days
55:57 Securities Investor Protection Corporation (SIPC)
56:43 Cumulative voting
58:38 Roth IRA
58:56 Principal approval of sales literature pre distribution
59:16 Anti Money Laundering (AML)
59:50 Monthly statements for penny stocks
1:00:41 Qualified Institutional Buyer (QIB) 144A
1:01:28 $250 campaign contribution if you can vote for elected official
1:02:00 Patriot Act
1:02:22 Fed funds rate
1:03:46 Secured bonds senior in liquidation
1:04:24 Spread
1:04:41 Tools of the Fed
1:05:58 Chapter 11 bankruptcy
1:06:17 Definition of accredited investor under Reg D
1:07:58 Stock dividend
1:09:05 Securities Act of 1933
1:10:23 Closing sale is used to eliminate or reduce or offset a long position
1:12:21 Treasury stock
1:13:36 Call risk
1:14:16 Reverse split
1:16:03 Market maker's quote and size of the market maker's quote
1:17:26 Pre refunded or refunded bond
1:18:47 Transfer agent
1:19:08 Freeride and resulting freeze of credit for 90 days
1:19:45 Tender offer accept or reject 20 days
1:20:30 Rights are short term and exercisable below CMP
1:21:47 Accrued interest
1:22:34 Amendments to U 4 must be done within 30 days
1:23:49 Bank Secrecy Act
1:24:00 IRA rollover 60 days