This class was created by Brainscape user Courtney Ritter. Visit their profile to learn more about the creator.
By:
Courtney Ritter
- decks
- flashcards
- learners
Decks in this class (9)
Chapter 1 - Accounting Basics
Alternate term for a broker deale...,
Three basic types of assets on a ...,
Types of cash on the balance sheet
14
cards
Chapter 2 - BD Operations
Acting as an agent vs principal,
Dual agency aka cross trade,
A firm acting as principal is tak...
75
cards
Chapter 3 - Margin
How does the securities exchange ...,
Which frb rules govern the extens...,
Regulation t
53
cards
Chapter 4 - The Customer Protection Rule
Sec rule 15c3 3 customer protecti...,
15c3 3 definition of a customer,
15c3 3 requires that
42
cards
Chapter 5 - Net Capital Requirements
Sec rule 15c3 1,
Aggregate indebtedness,
Free credit balance
30
cards
Chapter 6 - Computation of Net Capital
After calculating ai and determin...,
Net capital is computed by,
Net worth
51
cards
Chapter 7 - Recordkeepers and Reporting Requirements
Sec rule 17a 3,
Sec rule 17a 4,
17a 4 lifetime records
69
cards
Chapter 8 - FINRA Financial/Operational Rules
Uniform practice code,
Electronic delivery under finra r...,
Regular way settlement under the upc
50
cards
Chapter 9 - Other Relevant Regulations/Interpretations
Written supervisory procedures ma...,
New finra member application,
Finra supervisory control system
123
cards
More about
Series 27
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Courtney Ritter's Series 27 flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Series 27 Questions
- 7 decks
- 718 flashcards
- 137 learners
Decks:
Unit 1 Uniform Net Capital Rules, Unit 2 Record Keeping Reporting Responsi, Unit 3 Extension Of Credit, And more!
Series 24 Group Share
- 42 decks
- 2929 flashcards
- 165 learners
Decks:
Fc Chapter 1, Fc Chapter 2, Fc Chapter 3, And more!
