This class was created by Brainscape user Robert Woerner. Visit their profile to learn more about the creator.
By:
Robert Woerner
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Decks in this class (12)
Chapter 1 - Brokerage office procedures
U4 uniform application for securi...,
Changes to u4 timeframes 2,
U5 uniform termination notice for...
19
cards
The Numbers
10 days 1,
30 days 2,
60 days 3
6
cards
Chapter 2 - Recordkeeping, financial requirements, and reporting
Rule 17a 3 17a 4 1,
Records to maintain for 3 years 2,
Records to maintain for 6 years 3
35
cards
Chapter 3 - Issuing Corporate Securities
Securities act of 1933 1,
Registration statement 2,
Registration process 3
30
cards
Chapter 4 - Trading Securities
Market order 1,
Limit order 2,
Sell stop order 3
62
cards
Chapter 5 - Recommendations to Customers
Investment objectives 1,
Income investments 2,
Growth investments 3
21
cards
Chapter 6 - General Supervision
Items to be reviewed and approved 1,
Member offices 2,
Reps working from home 3
12
cards
Chapter 7 - Customer Accounts
Opening a customer account 1,
Customer agreement 2,
Holding customer securities 3
20
cards
Chapter 8 - Margin Accounts
Day trading disclosures 1,
The pattern for day trading accou...,
Portfolio margin accounts 3
21
cards
Chapter 9 - Investment Companies and Other Products
How investment companies are orga...,
Securities act of 1933 2,
Investment company act of 1940 3
28
cards
Chapter 10 - Annuities and Retirement Plans
Variable annuity requirements 1,
Appropriateness of a variable ann...,
Annuity payout options 3
10
cards
Chapter 11 - securities industry rules and regulations
Securities exchange act of 1934 1,
Securities and exchange commissio...,
Sec registrations requirements 3
29
cards
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Series 24
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Series 24 Group Share
- 42 decks
- 2929 flashcards
- 169 learners
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