This class was created by Brainscape user Ford Kline. Visit their profile to learn more about the creator.
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Ford Kline
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Decks in this class (17)
CH 01 Public and Private Offerings
An offering of shares with the pr...,
Define graphic communication 2,
True or false a free writing pros...
168
cards
CH 2 Underwriters
CH 2
126
cards
CH 3 SEC 1934
Can issuers selectively release i...,
What does regulation m a apply to 2,
How many minutes before trading e...
98
cards
CH 4 Supervision of research
True or false the name and certif...,
A bd is ready to issue a favorabl...,
True or false if an analyst issue...
56
cards
CH 5 General Supervision
True or false an office where the...,
If a bd operates on a bank s prem...,
True or false a temporary locatio...
123
cards
CH 6 Business Conduct Rules
What actions may the hearing pane...,
True or false an osj is only requ...,
When reviewing discretionary acco...
119
cards
CH 07 Communications with the Public
Blank 1,
True or false institutional commu...,
True or false rrs engaged in chat...
118
cards
CH 8 Packaged products
The trading of reits is most simi...,
True or false regulated investmen...,
What inquiry is made of a client ...
81
cards
CH 09 Equity Trading
Does this order require prior dis...,
True or false executions may occu...,
If the difference between the bid...
118
cards
CH 10 SEC Trading Rules
What is a protected quote related...,
True or false a volume weighted a...,
According to the locate requireme...
112
cards
CH 11 SRO Reporting
If a pricing error occurs when re...,
What steps should be taken when a...,
Along with the stock s price what...
146
cards
CH 12 Reporting
What is the adf reporting system 1,
True or false in a step out trans...,
What is the difference in reporti...
60
cards
CH 13 Customer Accounts
List some items that are found on...,
If mary has a cash account as wel...,
True or false prior to recommendi...
185
cards
Ch 14 Operations
If a client wants to transfer an ...,
Where do member firms keep writte...,
To assist in settlement and clear...
99
cards
CH 15 Margins
The industry minimum maintenance ...,
True or false national futures ex...,
True or false etfs are marginable...
89
cards
CH 18
Identify two situations that may ...,
Bds must review their fidelity bo...,
If a securities count is done by ...
164
cards
ABBR and Timing
When must form u5 be filed with f...,
True or false an office of superv...,
According to the equity ipo rule ...
342
cards
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Series 24
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Series 24 Group Share
- 42 decks
- 2929 flashcards
- 170 learners
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