This class was created by Brainscape user Matt Griffith. Visit their profile to learn more about the creator.
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Matt Griffith
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Decks in this class (7)
C1 S1 FINRA STRUCTURE AND MEMBERSHIP PROVISIONS
No deck description has yet been added by the author.
25
cards
Ch 1 S2 Registration of Personnel
No deck description has yet been added by the author.
31
cards
Ch 2 S1 Broker-Dealer supervision
No deck description has yet been added by the author.
80
cards
Ch 2 S2 Finra dispute proceures
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27
cards
Ch 2 S3 Federal Regulations
No deck description has yet been added by the author.
28
cards
Ch 2 S 4 Investment Companies
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107
cards
CH 3 S1 Uniform Net Capital Rule (Rule 15C3-1)
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17
cards
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jg ser 24
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