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22.05 S63 Course > KP4: Securities & Their Issuers, Reg, Exemptions > Flashcards

KP4: Securities & Their Issuers, Reg, Exemptions Flashcards

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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

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