Series 7 Exam Prep New Accounts, Financial Profiles, Investment Objectives.Function2 ContentOutline.

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Under retirement plans forgot to explicate 59 1/2 for the choice to get distributions without the 10% penalty and 72 for RMD (Required Minimum Distributions) and no RMDs for a ROTH IRA.
00:00 Intro
2:12 Pattern day trader
2:38 Prime broker
3:05 DVP and RVP
3:12 JTWROS versus TIC
5:32 Patriot Act requires picture ID. Physical address. Employed by another broker/dealer
6:22 Retirement rolllover within 60 days
7:20 Qualified plan versus unqualified plan
7:56 Defined benefit versus defined contribution
9:30 Step of cost basis on inherited shares
10:50 Customer Identification Procedures (CIP) and Know Your Customer (KYC)
11:58 Corporate insiders
14:09 Regulation SP
15:30 Limited power of attorney versus full power of attorney
16:05 Trust agreement
16:21 Corporate account
18:07 Customer balance sheet
19:20 Accredited investor
21:25 Cashiering department
23:24 Trusted contact person