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Carrie L
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Decks in this class (21)
Unit 3- Extension of Credit
Margin accounts question id 48482...,
Margin accounts question id 48486...,
Margin accounts question id 48487...
62
cards
Unit 1- Uniform Net Capital Rules
A broker dealer that carries cust...,
A broker dealer making a market i...,
Under the sec net capital rules a...
169
cards
Unit 2- Record Keeping & Reporting Responsibilities
Recordkeeping question id 48510 b...,
Recordkeeping question id 48511 s...,
Recordkeeping question id 48512 a...
146
cards
Unit 4 - Customer Protection
Pledging customer securities ques...,
Pledging customer securities ques...,
Rule 15c3 3 question id 48501 a b...
103
cards
Unit 5 - Other SEC and FINRA Rules
Insider trading question id 48621...,
Insider trading question id 48626...,
Insider trading question id 48649...
92
cards
Unit 6 - Uniform Practice Rules
Scope of the upc question id 4856...,
Scope of the upc question id 4856...,
Scope of the upc question id 4876...
70
cards
Unit 7 - Municipal Securities Rules
Administration and registration q...,
Administration and registration q...,
Administration and registration q...
76
cards
Exam 1
In computing net capital a broker...,
Abc co is an introducing broker d...,
In regard to a secured demand not...
145
cards
Exam 2
Annual reports required under rul...,
A broker dealer has a debt equity...,
The haircut on common stock posit...
147
cards
Exam 3
Broker dealers that carry custome...,
All the following accounts would ...,
Liabilities that are subordinated...
144
cards
Exam 4
A broker dealer is required to di...,
Persons required to sign the focu...,
A broker dealer calculating net c...
205
cards
Series 27 Practice Test 1
In computing net capital a broker...,
Abc co is an introducing broker d...,
In regard to a secured demand not...
347
cards
Uniform Net Capital Rules
Sec rule 15c3 1,
Net worth,
Net capital
46
cards
Net Capital Requirements
Elgin brothers makes markets in 4...,
Consider the following informatio...,
In which of the following situati...
37
cards
Customer Protection Rule
I broker dealers that have a rati...,
Emilio di matteo works in operati...,
A broker dealer computes its rese...
33
cards
Net Capital Computation
If there is a deficiency in the v...,
In regard to fails to deliver on ...,
Receivables due from participatio...
83
cards
FINRA Membership and Conduct Rules
Reclamation is allowed for up to ...,
According to msrb rules which of ...,
Under the provisions of rule 10b ...
23
cards
Other Relevant Regulations and Interpretations
Finra conduct rules require a mem...,
The alexandria virginia sewer aut...,
A firm s written supervisory proc...
32
cards
Record-Keeping and Reporting Requirements
Rule 17a 3 requires a broker deal...,
A broker dealer using electronic ...,
If securities reported as stolen ...
45
cards
Other
Fail to receive and fail to deliv...,
Which two of the following statem...,
The term customer under the net c...
10
cards
FAR - Framework/Overview - FASB, Role/Standard Setting, FASB/Standard Setting
What comprises united states gene...,
What does the securities and exch...,
What is the american institute of...
47
cards
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