Brainscape
Find Flashcards
Make Flashcards
Why It Works
More
Educators
Businesses
Tutors & resellers
Content partnerships
Academy
About
Educators
Teachers & professors
Content partnerships
Tutors & resellers
Businesses
Employee training
Content partnerships
Tutors & resellers
Academy
About
Log In
Get Started
Brainscape's Knowledge Genome
TM
Browse over 1 million classes created by top students, professors, publishers, and experts.
Entrance Exams
Professional Certifications
Foreign Languages
Medical & Nursing
Science
English
Humanities & Social Studies
Mathematics
Law
Vocations
Health & Fitness
Business & Finance
Technology & Engineering
Food & Beverage
Fine Arts
Random Knowledge
See full index
22.05 S63 Course
> KP2: Regulation of BD & Agents > Flashcards
KP2: Regulation of BD & Agents Flashcards
Study These Flashcards
22.05 S63 Course
(12 decks)
Registration & Licensing Requirements
Securities Registration
Business Practices
Administrative Procedures
KP1: Definitions Under the Uniform Securities Act
KP2: Regulation of BD & Agents
KP3: Regulations of IA & IARs
KP4: Securities & Their Issuers, Reg, Exemptions
KP5: Remedies & Administrative Provisions
KP6: Communications w/ Customers & Prospects
KP7: Ethical Practices & Obligations
KP8: Customer Protection
