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Series 24

This class was created by Brainscape user Thomas C Lewandowski. Visit their profile to learn more about the creator.

By: Thomas C Lewandowski
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Decks in this class (7)

Supervision Of BD And Personal Management
Members must file notice with fin...,
Advertising for municipal securit...,
Felony charges and convictions mu...
45  cards
STC Exams
Chat rooms clogs and social netwo...,
Insider trading civil penalty,
Subordinated loans qualification ...
82  cards
Supervision Of Investment Banking & Research
Within _____ days each calendar q...,
Sec rule 144,
Control securities
38  cards
Supervision Of Trading & Market Making
Under act trf rules a clearing br...,
Order ticket vs customer confirma...,
Physical delivery
32  cards
Cheat Sheet
Membership is revoked or suspende...,
Written notice is required within...,
How long do member firms have to ...
116  cards
Supervision - General B/D Activities
What are the characteristics of a...,
Distressed debt,
How often are members required to...
63  cards
Supervision Of Customer Activities
How long must registrations on th...,
In assessing the fairness of a me...,
Under finra rules how often must ...
44  cards

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Series 24

  • Class purpose General learning

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