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Learn Finra
Study Finra using smart web & mobile flashcards created by top students, teachers, and professors. Prep for a quiz or learn for fun!
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Decks
Flashcards
Learners
User Generated flashcards
(7)
Decks
Flashcards
Learners
Regulations
Regulations
By: trey abc
Securities Act of 1933,
Securities Act of 1934,
Other Federal and State Regulations
...
6
Decks
200
Flashcards
2
Learners
Series 7
Series 7
By: Ben Gurley
Customer Accounts,
Margin Rules,
Long Margin Accounts
...
34
Decks
1,212
Flashcards
30
Learners
Chapter 3 -Supervision of Customer- Related Activities
Chapter 3 -Supervision of Customer- Related Activities
By: Studying Alot
Chapter 3 - Day-trading Accounts ( FINRA Rule 2130),
Chapter 3 - Account Verification/USA PATRIOT ACT,
Chapter 3 - Misc topics
...
11
Decks
130
Flashcards
2
Learners
Series 7
Series 7
By: Ellen Wildman
Muni's,
Options,
Investment Companies
...
8
Decks
188
Flashcards
1
Learner
SIE Practice Exam
SIE Practice Exam
By: Alan Johnson
Steven Rice - D1 - Practice Exam,
FINRA - Practice Exam
2
Decks
150
Flashcards
2
Learners
SIE PQ Flash Cards
SIE PQ Flash Cards
By: Alan Johnson
Knowledge of Capital Markets (Brown Cards),
Understanding Products and their Risks (Blue Cards),
Understanding Trading, Customer's Accounts, and Prohibited Activities (Green cards)
...
6
Decks
208
Flashcards
2
Learners
Customer Accounts
Customer Accounts
By: Isaac Kerry
Account Basics,
Margin Rules,
Long Margin Rules
...
8
Decks
142
Flashcards
3
Learners
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