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Charles Amadio
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Decks in this class (42)
FC Chapter 1
True or false adrs are priced in ...,
True or false under reg s investo...,
As it relates to a regulation a o...
226
cards
FC Chapter 2
According to the equity ipo rule ...,
The green shoe clause allows the ...,
Under regulation m how many stabi...
136
cards
FC Chapter 3
True or false if a bd holds a cus...,
True or false if a bd buys its ow...,
According to regulation m a what ...
113
cards
FC Chapter 4
If an analysts spouse owns option...,
When must a research report be ap...,
If nonpublic information is unint...
63
cards
FC Chapter 5
What must be addressed in a bds b...,
True or false an office of conven...,
True or false an employee of a bd...
209
cards
FC Chapter 6
Gifts exceeding _____ are conside...,
True or false a gift in excess of...,
Is it acceptable for a bd to give...
131
cards
FC Chapter 7
If a storyboard has been filed wh...,
If a bds investment company commu...,
Unscripted participation in a cha...
117
cards
FC Chapter 8
Within _____ business days of bei...,
Define breakpoint,
True or false member firms may ho...
71
cards
FC Chapter 9
True or false the adf is an autom...,
May a dmm accept a not held order,
Nasdaq level iii allows a market ...
168
cards
FC Chapter 10
True or false a firm may not repo...,
Orders to sell all exchange liste...,
In a prime brokerage arrangement ...
126
cards
FC Chapter 11
If the highest bid equals the low...,
Abcs inside market is 1515 1540 m...,
What are some valid reasons for a...
145
cards
FC Chapter 12
What is the orf,
True or false trades executed bet...,
Once a trace report is made when ...
73
cards
FC Chapter 13 PART1
If a customer changes his address...,
From what requirement of the penn...,
True or false if the custodian is...
160
cards
FC Chapter 13 PART2
Both the ____________ and the ___...,
Under the customer identification...,
When is confirmation of a transac...
152
cards
FC Chapter 14
What is the maximum time period f...,
A client buys xnx stock and autho...,
True or false completion of a tra...
140
cards
FC Chapter 15
Jim has a 10 000 debit balance in...,
If a bd extends credit to a clien...,
If a clients margin account has a...
85
cards
FC Chapter 16
What is the net capital requireme...,
Finra must be notified ____ days ...,
A subordinated loan may be includ...
178
cards
review chapters
A qualified independent underwrit...,
Industry regulations provide guid...,
Non covertible debt is also called
29
cards
review exam 1
Define clearly erroneous,
What is the time frame to file cl...,
What discretion does a member fir...
36
cards
review exam 2
The following products are eligib...,
Employees of broker dealers do no...,
Short interest reporting requirement
20
cards
chapter 1 study notes
Non traided reit 18 month rule,
Adr general info,
Structured products are
72
cards
Chapter 2 Study Notes
At the market offering prohibition,
Ipo allocationfree retention,
Ipo allocationjump ball basis
19
cards
Chapter 3 study notes
Sec emergency suspension,
Schedules 13d,
Schedule 13 g
29
cards
Chapter 4 Study Notes
Rule 138 non equivalent securitie...,
Rule 137 persons not participatin...,
Rule 139 research reports
21
cards
Chapter Five Study Notes
New member application review pro...,
The supervisory manual must also ...,
There are many elements that migh...
34
cards
Chapter 6 Study Notes
Parking,
Use of stockholder information,
Private securities transactions
8
cards
Chapter 7 Study notes
Correspondence,
Institutional communications guid...,
Website and blogs
22
cards
Chapter 8 Study Notes
Face amount certificate company,
Unit investment trust uit,
Management company
27
cards
Chapter 9 study notes
Market center,
Bd acting as agent,
Bd acting as principal
30
cards
Chapter 10 study notes
Shorting stockcircuit breaker,
Short exempt
2
cards
Chapter 11 Study Notes
Discretionary order discretion no...,
Sub penny display rule,
Access fee cap
18
cards
Chapter 12 study notes
Transactions inotc equity securit...,
Transactions of nasdaqlistedand o...,
Nasdaq act technology platform
32
cards
Chapter 13 study notes
Definition of penny stock,
Penny stock transaction exemptions,
Finra has established the followi...
9
cards
Chapter 14 study Notes
Uniform practice code,
Carryingagreement,
Clearing arrangementsreview of ag...
21
cards
chapter 15 study notes
Regulation u,
Uniform practice code vs reg t,
Margin risk disclosure document
32
cards
Chapter 16 study notes
Bd net equity calculation,
Net capital carrying firm,
Net capital carrying firm that do...
32
cards
exam 6
Generally insiders are prohibited...,
Is net capital falling a trigger,
Prospectus delivery
28
cards
exam 5
Which regulatory body conducts a ...,
Dtcc settlement system for hen as...,
Oats are submitted
17
cards
exam 3
Audited statement to be furnished...,
To locate information on common s...,
Equity transaction reporting
18
cards
Green 1
Penny stock compensation,
A nasdaq market maker that withdr...,
If the broker dealer crosses stoc...
32
cards
exam 7
Forwarded shareholder communications,
Rr trade error,
Listing requirements stringent
23
cards
exam 8
A free writing prospectus is defi...,
A regulation m notice is required...,
Nonsecurities business office
25
cards
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