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Series 66 > Unit 19 - Client Profile > Flashcards

Unit 19 - Client Profile Flashcards

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Series 66 flashcards
1
Q

*Investment Constraints (4)

A
  • Legal and Regulatory Factors
  • Taxes
  • Time Horizon
  • Unique Needs and Preferences
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2
Q

Subjective Consideration vs. Objective Consideration

Financial or Non-Financial Considerations

A 
Subjective = Non Financial
Objective = Financial
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Series 66 (19 decks)

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