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

Decks in this class (11)

Unit 1 Supervision of Registration of the BD and Personnel Management Activities
Foreign associates of a member fi...,
Required information on form u4 i...,
If an individual fails a qualific...
53  cards
Unit 2 Supervision of General BD Activities
When determining if a client qual...,
Sales charges are applicable to a...,
To qualify as a reit certain irs ...
119  cards
Unit 3 Supervision of Retail and Inst Customer-Related Activities
During an examination of bda finr...,
Retail communications relating to...,
Which of the following is classif...
41  cards
Unit 4 Supervision of Trading and Market Making
In an active competitive market t...,
Under rules a nondirected order m...,
A nasdaq market maker uses an in ...
123  cards
Unit 5 Supervision of Investment Banking and Research
For an additional issue offering ...,
The sec exchange act of 1934 appl...,
Which of the following sec are ex...
80  cards
Series 24 Warm-Up Test
The following dealer quotes for x...,
Member firms may contract with a ...,
During the waiting period for an ...
15  cards
Unit 1 - Test Prep
A rr has been called into active ...,
An outside independent bookkeeper...,
Which if the below would be deeme...
5  cards
Unit 2 - Test Prep
All of the following statements r...,
A rr may conduct business from hi...,
Which of the following statements...
14  cards
Unit 3 - Test Prep
All of the below may be used to v...,
All of the below may be found on ...,
Customer statements are sent
5  cards
Unit 4 - Test Prep
Abc bd has an order to buy and se...,
A mm of a global select stock wis...,
A quote is entered at 2250 2300 w...
9  cards
Unit 5 - Test Prep
An offering in which one ore more...,
All of the below securities would...,
The prospectus delivery requireme...
8  cards

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Series 24

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