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mayco h
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Decks in this class (9)
Definitions Under the USA
Certificates of deposit voting tr...,
What kind of issuer does fraction...,
A broker dealer bd is a firm enga...
11
cards
Broker-dealers
Agency capacity of broker dealer ...,
Principal capacity as a dealer me...,
The following are excluded and ar...
20
cards
Agents
What is an agent in the context o...,
What is an alternative term for a...,
Certain individuals who represent...
21
cards
Investment advisers
What is an investment adviser ia,
What is the release ia 1092 exactly,
What are other persons who can be...
34
cards
Investment advisers Representatives
What is an investment advisor rep...,
What do iars do,
What is a solicitor
9
cards
General Registration Procedures
What is needed for registration p...,
What is needed on the application,
What is consent to service of pro...
6
cards
Registration Effective and expiration dates
When does an application for regi...,
What happens if the original appl...,
What happens to agents or iars of...
3
cards
Denial, Suspension, or Revocation of Agent, Broker-Dealer, Investment Adviser and Investment Adviser
What are the conditions for the a...,
When can a denial suspension or r...,
How many days does the admin need...
12
cards
Post-Registration Requirements
What is in the firm s written sup...,
Potential red flags of an rr,
What is an office of supervisory ...
31
cards
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Series 63 Chapter 1
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Series 63
- 4 decks
- 150 flashcards
- 1,449 learners
Decks:
1 Usa Broker Dealers Agents, 2 Security Registration, 3 Investment Advisers, And more!
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Chapter 1 Investment Advisers, Chapter 2 Investment Adviser Representat, Chapter 3 Regulation Of Broker Dealers, And more!
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