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Justin Paradis
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Decks in this class (31)
Chapter 1: Regulations of Firms and Individuals - A. Regulations Of Broker/Dealers
_content outline_chapter 1 regula...,
Not considered a person under the...,
Considered a person under the uni...
12
cards
Chapter 1: Regulations of Firms and Individuals - B. Regulations of Agents Of Broker/Dealers
Agent,
Example of an agent,
Exclusions from definition of an ...
8
cards
Chapter 1: Regulations of Firms and Individuals - C. Regulations of Investment Advisers
Definition investment adviser,
Exclusions from definition of inv...,
Registration as an investment adv...
7
cards
Chapter 1: Regulations of Firms and Individuals - D. Regulations of Investment Adviser Representatives
Investment adviser representative,
Employment of investment adviser ...,
Registration of employment advise...
4
cards
Chapter 1: Regulations of Firms and Individuals - E. Registration Application
Broker dealer registration applic...,
Registration examinations,
Federal covered advisors
11
cards
Chapter 1: Regulations of Firms and Individuals - F. Sale, Offer to Sell, and Offer to Purchase
Sale,
Offere to sell,
Offer to purchase
4
cards
Chapter 2: Regulations of Securities and Issuers - A. Issuers
Definition of an issuer,
Issuer transaction,
When the sale of securities is fo...
3
cards
Chapter 2: Regulations of Securities and Issuers - B. Securities
Securities,
The term security does not include,
Corporate securities
9
cards
Chapter 2: Regulations of Securities and Issuers - C. Registration of Securities
Registration of securities,
State securities administrator,
General provisions of securities
8
cards
Chapter 2: Regulations of Securities and Issuers - D. Exemptions
Exempt securities definition,
Exempt securities list,
Federal covered securities defini...
31
cards
Chapter 3: Remedies and Administrative Provisions - A. Authority of State Securities Administrators
Authority of state securities adm...,
Jurisdiction,
State
3
cards
Chapter 3: Remedies and Administrative Provisions - B. Administrative Actions
General administrative actions,
Administrative actions prohibited...,
Administrative actions civil liab...
7
cards
Chapter 3: Remedies and Administrative Provisions - C. Penalties and Liabilities
Criminal liabilities and penalties,
Summary statute of limitations an...,
Statue of limitations for crimina...
6
cards
Chapter 4: Communication with Customers and Prospects - A. Investment Adviser Advertising
P,
Adviser advertisements,
Direct or indirect communications
18
cards
Chapter 4: Communication with Customers and Prospects - B. Disclosure of Material Information
Disclosure of material information
1
cards
Chapter 4: Communication with Customers and Prospects - C. Client Confidentiality
Client confidentiality
1
cards
Chapter 4: Communication with Customers and Prospects - D. Financial Exploitation of Vulnerable Adults
Financial exploitation of vulnera...
1
cards
Chapter 4: Communication with Customers and Prospects - E. Performance Guarantees
Performance guarantees
1
cards
Chapter 4: Communication with Customers and Prospects - F. Administrative Provisions and Actions
Scope of uniform securities act,
State,
Jurisdiction
21
cards
Chapter 5: Ethical Practices and Obligations - A. Compensation and Other Issues
P,
Commissions,
Performance based fees
6
cards
Chapter 5: Ethical Practices and Obligations - B. Suitability
Suitability
1
cards
Chapter 5: Ethical Practices and Obligations - C. Customer Funds and Securities
Client contracts,
Client contracts investment advis...,
Required disclosures
8
cards
Chapter 5: Ethical Practices and Obligations - D. Market Manipulation
Market manipulation,
Wash trades,
Capping and pegging
4
cards
Chapter 5: Ethical Practices and Obligations - E. Fraud and Misrepresentation
Fraud and misrepresentation
1
cards
Chapter 5: Ethical Practices and Obligations - F. Other Prohibited Practices
Prohibited practices,
Arbitrage
2
cards
Chapter 5: Ethical Practices and Obligations - G. Prudent Investor Standard of Care
Uniform prudent investor act,
Prudent man rule,
Trustee issues
6
cards
Chapter 5: Ethical Practices and Obligations - H. Use on Non-Public Information
Nonpublic information,
Material inside information
2
cards
Chapter 5: Ethical Practices and Obligations - I. Loans to and From Customers
P
1
cards
Chapter 5: Ethical Practices and Obligations - J. Insider Trading
Insider trading,
Civil penalties insider trading,
Criminal penalties insider trading
5
cards
Chapter 5: Ethical Practices and Obligations - K, L, M - Selling Away, Excessive Trading, and Outside Securities Accounts
Selling away,
Excessive trading,
Outside securities accounts
3
cards
Chapter 5: Ethical Practices and Obligations - N. Cybersecurity, Privacy, and Data Protection
Cybersecurity overview,
Cybersecurity recommendations
2
cards
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Series 63 Exam
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