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trey abc
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Decks in this class (11)
Account Basics
What are the basic items required...,
What information re citizenship i...,
What are the big 4 items that fir...
56
cards
MSRB Securities Rules
What must a broker dealer have be...,
What happens if a customer refuse...,
What can a a finra branch manager...
6
cards
Accounts for Employees of Other Firms/Financial Service Co.'s
What are the finra rules for open...,
What are the msrb rules for openi...,
What are the cboe rules for openi...
3
cards
Custodian Accounts
What are the basic rules of a ugm...,
What must the custodian do if the...,
What are the rules of a utma account
3
cards
Closing or Transferring Customer Accounts
What happens once a customer comp...,
How long does the old firm have t...,
How many business days are given ...
10
cards
Brokerage firm departments
What is the responsibility of the...,
What is the responsibility of the...,
What is the responsibility of the...
6
cards
Anti-Money Laundering and Regulation SP
What would require a customer to ...,
What is the ofac list of sdns,
Where are sars reported to and ho...
10
cards
Margin Account Rules
What are federal reserve margin r...,
What is hypothecation,
What is rehypothecation
22
cards
Long Margin Accounts
What is the long margin account f...,
What is the formula for margin pe...,
What is interest charged on in lo...
14
cards
Short margin accounts
What is the formula for short mar...,
What happens to equity when the m...,
For every 1 decline in smv sma in...
6
cards
Margin on Options
What is the initial margin to sel...,
What is the minimum margin requir...
2
cards
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Customer Accounts
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Series 24 - Session Two - Customer Ac...
- 1 decks
- 108 flashcards
- 3 learners
Decks:
Series 24 Session Two Customer Accounts, And more!
