This class was created by Brainscape user ray Offenburger. Visit their profile to learn more about the creator.
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ray Offenburger
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Decks in this class (12)
66 - 1
Is a certified public accountant ...,
True or false a publisher of a fi...,
Is an organization that provides ...
41
cards
66-2
List the securities that are exem...,
Though some securities are exempt...,
Regulation a exemption is allowed...
134
cards
66-3
Is a firm that has an office in a...,
Is a bank whose trust department ...,
If a corporation raises capital b...
65
cards
66-4
Is an adviser to a mutual fund co...,
True or false an adviser to a mut...,
True or false the ceo of an advis...
114
cards
66-5
What form is used to notify admin...,
What document regularly provided ...,
If an ia has custody or discretio...
51
cards
66-6
What is not pertinent when openin...,
May a wife enter trades in a husb...,
Describe a wrap account
51
cards
66-7
May an rr and a client share in a...,
Is discretionary authorization re...,
What three items must be specifie...
103
cards
66-8
What are the justifiable reasons ...,
An agent whose registration has b...,
If an agent has withdrawn registr...
102
cards
66-9
The securities act of 1933 regula...,
What is the primary purpose of th...,
True or false the sec judges an o...
53
cards
66-10
True or false only one person mus...,
Municipal bond interest is exempt...,
Who is eligible to contribute to ...
161
cards
66-11
True or false all corporate offic...,
A ___________________ is required...,
___________ stock fluctuates with...
169
cards
66-12
_________ stock pays higher than ...,
What is the proper order of liqui...,
What is the formula for calculati...
198
cards
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Series 66
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