19. Misc Flashcards
(2 cards)
1
Q
Key day count reference
A
2
Q
Defining immediate family reference card
A
- 1. Registration of a Broker-Dealer
- 2. Registration of Associated Persons (APs)
- 3. Written Supervisory Procedures (WSPs) and Compliance Controls
- 4. Supervising Associated Persons (APs)
- 6. Supervising the Delivery of Products and Services Offered by the BD
- 7. Disciplinary/Corrective Actions Relating to APs; Potential Violations of Securities Industry Laws, Rules and Regulations; Customer & Industry Disputes
- 5. Supervising Compensation Practices
- 8. Books and Records of the BD
- 9. Financial Management
- 10. Customer Account Opening and Maintenance Procedures
- 11. Communications w the Public
- 12. Customer Recommendations and Disclosures
- 13. Order Entry, Routing and Execution
- 14. Proper Booking and Settlement of Trades
- 15. Review Executions for Compliance with Trade Reporting Requirements
- 16. Supervision of Investment Banking Activities
- 17. Review and Approval of Investor Materials
- 18. Supervision of Research Related Activities
- 19. Misc
