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Joe Boceli
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Decks in this class (11)
Ch 4 Deck 1
All firms must be registered memb...,
Who regulates the securities indu...,
Finra writes
32
cards
Ch 4 Deck 2
When a rep is terminated the firm...,
A u 5 form must be filed within,
A u 5 form must contain
29
cards
Ch 4 Deck 3
Events that prevent a person from...,
One reason for statutory disquali...,
One reason for statutory disquali...
45
cards
Ch 4 Deck 4
Most records must be kept for,
Account records must be kept for,
The sec has the authority to proh...
42
cards
Ch 4 Deck 5
Under regulation fd information w...,
Firms are required to establish a...,
The purpose of a chinese wall is ...
43
cards
Ch 5 Deck 5
A sar is filed with,
A sar must be filed within,
When filing a sar the financial i...
27
cards
Ch 5 Deck 6
A person cannot guarantee a custo...,
Agents who share in customer acco...,
Agents who share in customer acco...
59
cards
Ch 5 Deck 7
During mediation a neutral mediat...,
Mediation proceedings are,
Mediation settlement is
31
cards
Ch 5 Deck 8
No employee of ib department can ...,
No employee of an ib department c...,
Research reports can only be revi...
29
cards
Ch 5 Deck 9
Broker dealers that are corporati...,
Broker dealers that are partnersh...,
Blotter records must be kept for
31
cards
Ch 5 Deck 10
0
cards
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Series 79 chapter 4
- Class purpose General learning
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