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Series 63 flashcards

Series 63 - AD Banker

This class was created by Brainscape user Richard Panameno. Visit their profile to learn more about the creator.

By: Richard Panameno
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Decks in this class (4)

Chapter 1 - Registration and Licensing Requirements
Define the following terms person...,
Explain the difference between ex...,
What are the exclusions and exemp...
8  cards
Chapter 4- Administrative Procedures
Explain the administrator scope o...,
Differentiate between offers in s...,
Recognize the items that are spec...
12  cards
Chapter 3 - Business Practices
Determine which actions are ethic...,
Recognize the importance of deter...,
Identify prohibited practices
18  cards
Chapter 2 - Securities Registration
Classify which products are defin...,
Recognize the non exempt securiti...,
Differentiate between the registi...
7  cards

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Series 63 - AD Banker

  • Class purpose General learning

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