This class was created by Brainscape user Matt Griffith. Visit their profile to learn more about the creator.
By:
Matt Griffith
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Decks in this class (7)
C1 S1 FINRA STRUCTURE AND MEMBERSHIP PROVISIONS
Finra combines 1,
Finra purpose 2,
Conduct rules 3
25
cards
Ch 1 S2 Registration of Personnel
Registration of personnel general...,
Registration of personnel limited...,
Sales supervisor series 9 10 roles 3
31
cards
Ch 2 S1 Broker-Dealer supervision
General supervisory rules 1,
Office of supervisory jurisdictio...,
Office of supervisory jurisdictio...
80
cards
Ch 2 S2 Finra dispute proceures
Finra dispute procedures 1,
Standard complaint form 2,
Finra dispute procedures 3
27
cards
Ch 2 S3 Federal Regulations
Insider trading regulations under...,
Insider trading regulations under...,
Insider trading regulations under...
28
cards
Ch 2 S 4 Investment Companies
Investment company is 1,
Investment company act of 1940 de...,
Face amount certificate company 3
107
cards
CH 3 S1 Uniform Net Capital Rule (Rule 15C3-1)
Net capital rule uniform net capi...,
Net capital dollar requirements 2,
Net capital dollar requirements 3
17
cards
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JG ser 24
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