Finra Flashcards & Quizzes

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Regulations

Regulations

By: trey abc

Securities Act of 1933, Securities Act of 1934, Other Federal and State Regulations ...

6

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200

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2

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Series 7

Series 7

By: Ben Gurley

Customer Accounts, Margin Rules, Long Margin Accounts ...

34

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1,212

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30

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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

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130

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2

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Series 7

Series 7

By: Ellen Wildman

Muni's, Options, Investment Companies ...

8

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188

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1

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SIE Practice Exam

SIE Practice Exam

By: Alan Johnson

Steven Rice - D1 - Practice Exam, FINRA - Practice Exam

2

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150

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2

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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

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208

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2

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Customer Accounts

Customer Accounts

By: Isaac Kerry

Account Basics, Margin Rules, Long Margin Rules ...

8

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142

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3

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