This class was created by Brainscape user Stefan Burke. Visit their profile to learn more about the creator.
By:
Stefan Burke
- decks
- flashcards
- learners
Decks in this class (10)
Unit 1-Municipal Securities
How often are msrb members audited,
Enterprise fund,
Par and interest accrual on munic...
158
cards
Unit 2-Securities Laws and Regulations
Securities act of 1933,
Securities exchange act of 1934,
Municipal securities disclosure s...
17
cards
Unit 3-Customer Accounts
When does new account info need t...,
What is the minimum information n...,
Suitability in new account
48
cards
Unit 4-Supervision and Dispute Resolution
Municipal firm registration,
Muni firm contacts form a12,
Wsps
56
cards
Unit 5-Syndication of Municipal Issues
Sec rule 15c2 12,
Rules for distributing os to cust...,
Exception to os distribution
73
cards
Unit 6-Uniform Practice
Regular way settlement,
Cash settlement,
When issued waii
23
cards
Unit 7-Other Relevant Regulations
Sec rule 17f 1,
Reporting rules missing securities,
Securities inquiries
8
cards
Unit 8-Economic Activity, Gvt Policy, and Interest Rates
Business cycle,
Definition of recession,
Definition of depression
48
cards
Unit 5-Syndicate Time Frames
What does sec 15c2 12 entail,
When do underwriters have to dist...,
G 17
36
cards
Uniform Practice Timelines and Procedures
If a trade discrepancy occurs whe...,
Process if only one party sends a...,
If you receive a failure to confi...
21
cards
More about
series 52
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Stefan Burke's Series 52 flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Series 52 Group Share
- 24 decks
- 1358 flashcards
- 5 learners
Decks:
Chapter 1 Study Notes, Chapter 2 Study Notes, Chapter 3 Study Notes, And more!
Series 7
- 34 decks
- 1212 flashcards
- 30 learners
Decks:
Customer Accounts, Margin Rules, Long Margin Accounts, And more!
Serie externe
- 18 decks
- 2217 flashcards
- 6 learners
Decks:
Classeur2, Expressions Courantes, Monde Du Travail, And more!
