This class was created by Brainscape user Gabriel Sadoun. Visit their profile to learn more about the creator.
By:
Gabriel Sadoun
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Decks in this class (11)
Chapter 1
U4 update,
Background checks going back how ...,
When should u5 be submitted
25
cards
Chapter 2
What are blotters and by when sho...,
How often should the general ledg...,
What information do subsidiary re...
38
cards
Chapter 3
What should s 1 contain,
What is the cooling off period ho...,
What happens if price deviates fr...
28
cards
Chapter 4
Types of orders,
Priority,
What can designated market maker ...
68
cards
Chapter 5
Disclosures when making a recomme...,
What are the different investment...,
What are reinvestment risk and ca...
16
cards
Chapter 6
What does the principal do,
What key personnel does the bd ne...,
What are the two elements of cont...
14
cards
Chapter 7
What are the different types of a...,
What kind of information does the...,
What is the pre dispute arbitrati...
24
cards
Chapter 8
What is reg t,
What value of customer securities...,
What securities can be purchased ...
24
cards
Chapter 9
What are the different types of i...,
What is the face amount certifica...,
What is a unit investment trust w...
36
cards
Chapter 10
What is an annuity and how is it ...,
What are the different types of a...,
What size requirements must an in...
30
cards
Chapter 11
What issuers should register with...,
How long can the sec suspend trad...,
What are the regulations surround...
52
cards
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Series 24
- Class purpose General learning
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Series 24 Group Share
- 42 decks
- 2929 flashcards
- 166 learners
Decks:
Fc Chapter 1, Fc Chapter 2, Fc Chapter 3, And more!
Series 24
- 12 decks
- 293 flashcards
- 20 learners
Decks:
Chapter 1 Brokerage Office Procedures, The Numbers, Chapter 2 Recordkeeping Financial Requir, And more!
