This class was created by Brainscape user Michael Smith. Visit their profile to learn more about the creator.
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Michael Smith
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Decks in this class (7)
Chapter 2
How much time or notice is a firm...,
Under sec rules a prospectus in u...,
Mutual fund prospectuses cannot i...
141
cards
Chapter 1
When does the 2 year license expi...,
Can someone on active military se...,
Which type of historical informat...
9
cards
Chapter 3
What dollar amount qualifies an i...,
For a customer who intended not t...,
How frequently must the margin di...
89
cards
Chapter 4
Are market makers allowed to acce...,
What is the minimum share price l...,
What is the minimum eps requireme...
161
cards
Chapter 5
How long are representations elig...,
How long does a nonaffiliate need...,
Who is an affiliate
101
cards
Key Cards to Remember
0
cards
Last Minute Cram
Series 6,
Series 52,
Series 57
13
cards
More about
Series 24 MS
- Class purpose General learning
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