This class was created by Brainscape user Courtney Ritter. Visit their profile to learn more about the creator.
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Courtney Ritter
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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
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Series 27 Questions
- 7 decks
- 718 flashcards
- 136 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
- 164 learners
Decks:
Fc Chapter 1, Fc Chapter 2, Fc Chapter 3, And more!
