This class was created by Brainscape user Jason Ardetto. Visit their profile to learn more about the creator.

Decks in this class (19)

Chp1
An ______ sells its own securitie...,
___ ______securities must be regi...,
True or false investment adviser ...
74  cards
Chapter 2 - The USA - Registrations
Registration of BDs, Agents, IAs, and IARs
74  cards
Chapter 2 - Exempt Securities and Transactions
Exempt Securities and Transactions
33  cards
Chapter 3 - Fraudulent and other prohibited practices
________ is intentional misrepres...,
True or false no one dealing in s...,
True or false violations of anti ...
25  cards
Chapter 3 - Administrative Actions
True or false an administrator ca...,
The administrator has authority o...,
The administrator may administer ...
24  cards
Chapter 3 - Advertising and Record Retention Rules
The administrator by rule or orde...,
__________ are considered adverti...,
If the firm intends to make a web...
16  cards
Chapter 4 - Section 1 - The NASAA Statements of Policy and Model Rules
Section 1
10  cards
Chapter 4 - Section 2 - Model Rules for IAs
True or false ias shall not exerc...,
What is the only exception in exe...,
True or false ias must act in the...
55  cards
Chapter 4 - Section 3 - Model Rules for Broker-Dealers
True or false broker dealers shal...,
Bds shall not exercise any discre...,
True or false
20  cards
Chapter 4 - Section 4 - Model Rules for Agents
True or false it is permissible f...,
_________ _________ is when a bro...,
Can agents of a broker dealer hav...
13  cards
Chapter 4 - Section 5 - NASAA Investment Adviser Information Security and Privacy Rule
The policies and procedures must ...,
The physical security and cyberse...,
The investment adviser must revie...
5  cards
Chapter 4 - Section 6 - Dishonest or Unethical Business Practices by BDs and Agents
What must be disclosed to custome...,
True or false it is unethical to ...,
What must be disclosed about sale...
8  cards
Chapter 4 - Section 7 - NASAA Model Rule on Business Continuity & Succession Planning
The plan shall be based upon the ...,
The plan shall provide for at lea...
2  cards
Chapter 5 - Section 1 - Prudent Investor Act Provisions
The ___________ was established t...,
A key feature of ________________...,
Under upia trustees must consider...
10  cards
Chapter 5 - Section 2 - Other Regulations
The ______________________ is a b...,
______ _______________ is the acc...,
What are the three stages of mone...
38  cards
Is the Investment a Security
Are stocks including treasury sto...,
Is the instrument investment a se...,
Is the instrument investment a se...
19  cards
Exempt Transactions
Non issuer transactions are,
Private placements are,
Institutional transactions are
5  cards
Chapter 6 - Prohibited and Unethical Business Practices Under the USA
Fraud typically has three parts,
True or false fraud is almost alw...,
True or false fraud is not intent...
50  cards
Chapter 7 - Administration of the USA
True or false the administrator h...,
An ______ is any attempt to dispo...,
A ______ is any agreement or cont...
44  cards

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S63

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