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Series 65: Uniform Investment Advisor Law Exam

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

By: Hannah Shink
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Decks in this class (9)

Unit 1 QBank
Under certain conditions the unif...,
An investment adviser sends a not...,
When if ever would a broker deale...
79  cards
Unit 2
Sharon smith is an investment adv...,
Long range planning lrp is a cove...,
Which of the following people wou...
9  cards
Terminology & Lingo
Subsidiary
1  cards
Terms to Know
After tax return,
Bear market,
Blue chip
38  cards
LEM Glossary
Accredited investor,
Accumulation stage,
Accumulation unit
718  cards
Unit 1 - Regulation of Investment Advisers (State & Federal)
0  cards
Abbreviations
Adr ads,
Air,
Apo
101  cards
Calculations
Current yield stock,
Current yield debt security,
Number of shares for conversion
22  cards
Dates
State ias deliver initial brochur...,
Latest time to delivery ia brochure,
Time limit for execution of a day...
15  cards

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Series 65: Uniform Investment Advisor Law Exam

  • Class purpose General learning

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