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Ed Stone
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Decks in this class (12)
Investment Adv Clients
Is a clients educational backgrou...,
Name the items the irs defines as...,
The grantor of the trust may be t...
20
cards
Prohibited And Ethical Biz Practices Under The USA
Is a closed and management fund a...,
What made closed and management f...,
May a closed and management fund ...
8
cards
Portfolio Management And Investment Risk
Which type of risk includes curre...,
True or false dollar cost average...,
Dollar cost average and guarantee...
26
cards
1. Administration Of The USA
If finra disqualifies a broker de...,
Under the usa is in administrator...,
And sros penalty for a minor rule...
14
cards
2. Federal Regulations Governing Investment Advisors
Under the investment advisors act...,
Is having discretionary power ove...,
Is an investment visor who has fu...
11
cards
3. Federal Securities Acts
In order to clarify items in the ...,
According to sarbanes oxley publi...,
According to the securities excha...
11
cards
Investment Advisory Practices
In order to sell away from their ...,
T or f the primary purpose of lif...
2
cards
Investment Vehicles
The _________ is guaranteed in an...,
What does the term offset mean,
True or false hedge funds charge ...
23
cards
Laws, Regulations, And Guidelines Overview
According to nasaa s model rule p...,
True or false under the investmen...,
Can a broker dealer be a financia...
6
cards
State Registration Of Securities
True or false any security exempt...,
True or false if state rules rega...,
Sure false federal regulations al...
14
cards
State Regulations Governing Broker Dealers And Agents
Broker dealers are required to ke...,
True or false all email must be r...,
True or false all email must be r...
7
cards
State Regulations Governing Investment Advisors And IAR's
What are the exemptions from defi...,
What are the exclusions from defi...,
What are the exemptions from defi...
17
cards
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Series 66 Ed
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