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Decks in this class (14)
Chapter 1 - Accounting Basics
Alternate term for a broker deale...,
Three basic types of assets on a ...,
Types of cash on the balance sheet 3
14
cards
Chapter 2 - BD Operations Part I
Acting as an agent vs principal 1,
Dual agency aka cross trade 2,
A firm acting as principal is tak...
25
cards
Chapter 2 - BD Operations Part II
Threshold security 1,
Threshold list 2,
Limitations on short sales and cl...
25
cards
Chapter 2 - BD Operations Part III
Errors what to do 1,
Control relationships 2,
Interest in a distribution 3
25
cards
Chapter 3 - Margin Part I
How does the securities exchange ...,
Which frb rules govern the extens...,
Regulation t 3
25
cards
Chapter 3 - Margin - Part II
Buying power 1,
Minimum maintenance requirement l...,
Guarantees involving customers 3
28
cards
Chapter 4 - The Customer Protection Rule - Part II
Sec rule 15c3 3 customer protecti...,
15c3 3 definition of a customer 2,
15c3 3 requires that 3
25
cards
Chapter 4 - The Customer Protection Rule - Part I
Sec rule 15c3 3 customer protecti...,
15c3 3 definition of a customer 2,
15c3 3 requires that 3
25
cards
Chapter 5 - Net Capital Requirements
Sec rule 15c3 1 1,
Aggregate indebtedness 2,
Free credit balance 3
30
cards
Chapter 6 - Computation of Net Capital - Part I
After calculating ai and determin...,
Net capital is computed by 2,
Net worth 3
25
cards
Chapter 6 - Computation of Net Capital - Part II
Calculating haircut on money mark...,
Calculating haircut on money mark...,
Calculating haircut on non conver...
26
cards
Chapter 7 - Recordkeepers and Reporting Requirements
Sec rule 17a 3 1,
Sec rule 17a 4 2,
17a 4 lifetime records 3
69
cards
Chapter 8 - FINRA Financial/Operational Rules
Uniform practice code 1,
Electronic delivery under finra r...,
Regular way settlement under the ...
50
cards
Chapter 9 - Other Relevant Regulations/Interpretations
Written supervisory procedures ma...,
New finra member application 2,
Finra supervisory control system 3
123
cards
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Series 27 - JT
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Series 27 Questions
- 7 decks
- 718 flashcards
- 160 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
- 185 learners
Decks:
Fc Chapter 1, Fc Chapter 2, Fc Chapter 3, And more!
