This class was created by Brainscape user Kevin O'Keefe. Visit their profile to learn more about the creator.
By:
Kevin O'Keefe
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Decks in this class (10)
24-1
Reg d provides safe harbor for __...,
For corporate debt offerings issu...,
Full form reg statement used by d...
11
cards
24-3
Reporting co a publicly traded co...
1
cards
Q&A1
Account has long mkt value of a a...,
Are stabilizing bids permitted fo...,
1 net basis tx dealer holding cus...
56
cards
Q&A2
Under rule 103 of reg m once a pa...,
Bd may use borrowed securities to...,
Any info conveyed to a purchaser ...
41
cards
Q&A3
Deposits of currency exceeding __...,
Penny stocks bds must disclose am...,
A revolving subordinated loan all...
26
cards
Q&A4
Corporate financing rule managing...,
Sar 1 must be filed w in ___ days...,
Rule 17a 11 requires reports to b...
22
cards
Q&A5
Qualified third market maker must...,
Due bill used if a trade occurs _...,
Alternative net capital requireme...
30
cards
Q&A6
Contact info 1 firms must review ...,
Subordination agreements in order...,
Clearing bd must notify introduci...
23
cards
Q&A7
Sell out if buying bd fails to pa...,
Portfolio margin following permit...,
Step out used by bds that have pr...
28
cards
Q&A8
Trace reporting bds req d to repo...,
U4 must be updated w in ___ days ...,
Research analysts can they attend...
23
cards
More about
S24
- Class purpose General learning
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Looking for something else?
Marcus' A&P S24
- 9 decks
- 1014 flashcards
- 1 learners
Decks:
West Book Questions, West Book Chapter 1 3, Exam 1, And more!
