This class was created by Brainscape user Ben Gurley. Visit their profile to learn more about the creator.
By:
Ben Gurley
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Decks in this class (12)
Chapter 1 - Investment Advisers
Investment advisers,
Three pronged test for an investm...,
Are you an investment adviser if ...
42
cards
Chapter 2 - Investment Adviser Representatives
Investment adviser representative...,
Iars have same exemptions to regi...,
Ias are responsible for for super...
12
cards
Chapter 3 - Regulation of Broker-Dealers
Broker dealers and their agents g...,
A broker acts as a go between for...,
A dealer sells clients securities...
19
cards
Chapter 4 - Regulation of Agents of Broker-Dealers and Agents of Issuers
An agent has a nearly identical r...,
Definition of an agent includes a...,
Agents representing broker dealer...
17
cards
Chapter 5 - Regulation of Securities and Issuers
Definition of person same as 79,
The uniform securities act define...,
Non securities are
39
cards
Chapter 6 - Remedies and Administrative Provisions
The state admin is charged with t...,
If a person fails to follow admin...,
Orders that are sent by the admin...
10
cards
Chapter 7 - Communications with Clients and Prospects
Disclosure essentially means,
Situations that require proper di...,
Material facts include
19
cards
Chapter 8 - Compensation
Must communicate in writing if an...,
Bds and agents cant charge for __...,
Bds and agents cant split or pay ...
8
cards
Chapter 9 - Client Funds and Securities
Increased control of a clients ac...,
Ias who take custody of client as...,
To avoid taking custody ia must
19
cards
Chapter 10 - Conflicts of Interest and Fiduciary Issues
Excessive trading is also called ...,
Churning or excessive trading is ...,
Most basic conflict of interest i...
24
cards
Chapter 11 - Federal Securities Acts
All the securities regulations ar...,
The securities act of 1933,
Exemptions to registration under ...
14
cards
Incorrect Answer Feedback
The maximum conviction for violat...,
In order to give advise to an emp...,
Pending lawsuits are required on ...
133
cards
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Series 63
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Series 63
- 4 decks
- 150 flashcards
- 1,442 learners
Decks:
1 Usa Broker Dealers Agents, 2 Security Registration, 3 Investment Advisers, And more!
Series 63
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- 466 flashcards
- 26 learners
Decks:
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