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Josh's 24

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

By: Joshua Vanderschuere
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Decks in this class (15)

Chapter 10
Chapter Crunch
15  cards
Chapter 12
Chapter Crunch
12  cards
Chapter 5
Chapter Crunch
38  cards
Incorrect Test Questions
Incorrect Final and Progress
47  cards
Incorrect Test Questions Part 7
The nasdaq market center totalvie...,
What s the lowest price at which ...,
Trading ahead exemptions
50  cards
Progress Exam 1
The central registration deposito...,
This system is used to report tra...,
A
17  cards
Exam 8 Incorrect
Broker dealers are permitted to a...,
Regarding the use of supplemental...,
Finra rules require members to re...
46  cards
Chapter 1
A corporation is organized in del...,
When an issuer is testing the wat...,
Difference between rule 147 and 147a
16  cards
Chapter 2
According to finra rule 5110 secu...,
Restricted securities issued unde...,
A syndicate manager is considerin...
25  cards
Greenlight 2
Purchasers must be non us citizen...,
If a registered representative is...,
A brokerage firm with a net capit...
64  cards
Timeline Questions
Taping rule when do all firm empl...,
Arbitration timeline,
Rule 17a 11 bd is req d to send i...
31  cards
Chapter 11
Locked market,
Crossed market,
Nasdaq unexcused withdrawal
11  cards
Section 2 of Exam Breakdown
What limitations are placed on an...,
What sec form is used to report t...,
4
25  cards
Test 1 Rerun
According to the finra corporate ...,
When would a corporate bond trade...,
If a wksi loses its qualification...
54  cards
Exam 2 Redo
During normal market hours transa...,
A firm is the managing underwrite...,
Which of the following situations...
45  cards

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Josh's 24

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