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Series 24

This class was created by Brainscape user Christopher Oglesby. Visit their profile to learn more about the creator.

By: Christopher Oglesby
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Decks in this class (6)

Registration of a Broker-Dealer
Which form is used to register br...,
Which form is used by a registere...,
Which form is used by bds to subm...
38  cards
Registration of Associated Persons (APs)
This type of alcohol related traf...,
A s24 principal does not jurisdic...,
The principal responsible for sup...
55  cards
Written Supervisory Procedures (WSPs) and Compliance Controls
Where must a copy of a firm s wri...,
How long must wsps be kept 2,
What activities must occur at a o...
35  cards
Supervising Associated Persons (APs)
True false outside business activ...,
The rules of outside business act...,
If a rr is engaged in an outside ...
40  cards
Supervising Compensation Practices
True false a rr may conduct bd se...,
True false a client may conduct s...,
What is included in the required ...
12  cards
Supervising the Delivery of Products and Services Offered by the BD
What are three categories of inve...,
In what circumstances does the 34...,
In context of open ended fund how...
48  cards

More about
Series 24

  • Class purpose General learning

Learn faster with Brainscape on your web, iPhone, or Android device. Study Christopher Oglesby's Series 24 flashcards for their NYU Law class now!

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Series 24 Group Share
  • 42 decks
  • 2929 flashcards
  • 169 learners
Decks: Fc Chapter 1, Fc Chapter 2, Fc Chapter 3, And more!
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