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17 Cards in this Set
- Front
- Back
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0%
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Required equity to sell covered options
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1%
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Reselling unregistered stock(Rule 144)
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5%
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NASD Guideline policy
Min Maintenance(short against the box) |
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6%
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Excess contribution penalty to an IRA
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81/2%
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Max sales charge (mutual Fund)
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9%
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Max sales charge life time for a UIT
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10%
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Early withdrawal penaly IRA's and annuities
DJIA declines trading halts for 1 hour Max outstanding shares purchased by mutual funds Insider definition Max sales charge for a limited partnership |
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15%
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Max Long term capital gain and Qualified Div Tax
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20%
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Max sales charge 1st yr UIT Act of 1970.
DJIA declines 20% trading halts for 2 hours |
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25%
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Max contribution to Keogh
Minimum maintence for a Long account |
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30%
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Min Maintenance for a Short account.
Taxable corporate Dividend.(70%not taxable) DJIA declines 30% trading halts for the day |
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40%
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Non-interested BOD of mutual fund without the 12b-1 fee
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50%
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Reg T(margin)
Late withdrawal penalty Max credit to SMA when sale proceeds pay down loan for margin. Max withdrawal of sale proceeds from restricted account. |
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75%
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Assets invested of diversified mutual funds and REITs
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80%
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Intrastate offering business and assets location rule
Name rule for mutual funds |
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90%
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Mutual Fund and REIT minimum distribution
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200%
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purchasing power of SMA
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