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IACCP exam study material - TK

This class was created by Brainscape user Trish Koontz. Visit their profile to learn more about the creator.

By: Trish Koontz
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Decks in this class (10)

QUESTION BANK -EXAM SAMPLE QUESTIONS
1 which three types of clients ca...,
2 which three activities should t...,
3 when trading for a client s acc...
50  cards
ADVIORS ACT
1 pursuant to section 202 of the ...,
2 under the advisers act section ...,
3 the advisers act defines a supe...
26  cards
Books & records
Pursuant to section 202 of the ad...,
Under the advisers act section 20...,
The advisers act defines a superv...
26  cards
Compliance Program Rules - Act of 1940& SEC Rules
1 pursuant to section 202 of the ...,
The advisers act defines a superv...,
Under the advisers act section 20...
26  cards
Sample Question Bank 2- Compliance Mandates Beyond the Advisers Act
Which three are consistent with f...,
Which three statements are true r...,
3 which activity is not a retenti...
50  cards
IACCP Practice Exam 1
Item id it000014under which two c...,
Item id it000016which two are exc...,
Item id it000050which action woul...
50  cards
IACCP Practice Exam 2
Item id it000017which three are c...,
Item id it000030xyz investment ad...,
Item id it000031which three items...
50  cards
IACCP Stud Session Q&A
Under which circumstance must an ...,
Which three entities are excluded...,
Dch an sec registered adviser is ...
45  cards
Trading Courses - IACCP Q's
The smc capital inc no action let...,
Which of the following should not...,
Under the safe harbor provided by...
20  cards
Disclosure Form ADV Part 1 - IACCP Q's
1 which activity would be conside...,
A firm is considered to have cust...,
An investment adviser in determin...
20  cards

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IACCP exam study material - TK

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