This class was created by Brainscape user Michael Sheen. Visit their profile to learn more about the creator.
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Michael Sheen
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Decks in this class (10)
Exempt Securities And Transactions
State securities administrators m...,
Provided federally covered exempt...,
Sales to non accredited investors...
27
cards
Unethical Practices
A manipulative act designed to ke...,
A manipulative act designed to ke...,
The entering of an order for the ...
5
cards
Professional Conduct And Prohibited And Fraudulent Actions
Who may charge fulcrum fees,
Provides the advisor with additio...,
The practice of recommending a se...
3
cards
The State Securities Administrator And The Uniforms Securities Act
True or false the usa requires th...,
Has the power to deny revoke or s...,
True or false an administrator ma...
23
cards
Customer Protection
Either a bank or savings associat...,
In absence of a rule an advisor m...,
How often must an investment advi...
11
cards
Securities And Their Issuers, Registration, And Exemptions
As defined in the uniform securit...,
De minimis is from the latin meaning,
Certain securities may be sold wi...
57
cards
Authority Of The State Securities Administrator
Every attempt or offer to dispose...,
True or false a sale or offer of ...,
Every contract of sale contract t...
26
cards
Definitions Under The USA
Is a template or guide not actual...,
Has jurisdiction over virtually a...,
Used to deny effectiveness to or ...
34
cards
Regulation of Investment Advisers and Their Reps under the USA
What two criteria must be met for...,
What do you have to do to provide...,
Are you providing continuous regu...
49
cards
Remedies And Admin Provisions
True or falsethe usa provides bot...,
What is the statute of limitation...,
Test topic alert
9
cards
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6-3
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