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By:
Joe Kennedy
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Decks in this class (8)
Section 1 Definitions and Reg of Persons
How long must a registered invest...,
How long must a registered bd kee...,
Issuers and trust companies are e...
44
cards
Securities
Notes,
Stocks,
Treasury stocks
19
cards
Six Items NOT considered a security
An insurance or endowment policy ...,
Interest in a retirement plan suc...,
Collectibles
7
cards
Federal Covered Securities
Securities listed on the new york...,
Any security equal in seniority r...,
Investment company securities reg...
4
cards
Exempt Securities
Us and canadian government munici...,
Foreign government securities,
Depository institutions
11
cards
Exempt Transactions
Isolated non issuer transactions,
Unsolicited brokerage transaction,
Underwriter transactions
14
cards
State Securities Registration Procedures
Filing the registration statement,
Who can file the registration sta...,
Filing fee
7
cards
Questions I had no clue from Quizes
What is the maximum fine for a vi...,
What is the maximum prison term f...,
What can cause the administrator ...
11
cards
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Series 63
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