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Series 63 Exam
> Chapter 5: Summary > Flashcards
Chapter 5: Summary Flashcards
Series 63 Exam
(35 decks)
Chapter 1: Regulations of Firms and Individuals - A. Regulations Of Broker/Dealers
Chapter 1: Regulations of Firms and Individuals - B. Regulations of Agents Of Broker/Dealers
Chapter 1: Regulations of Firms and Individuals - C. Regulations of Investment Advisers
Chapter 1: Regulations of Firms and Individuals - D. Regulations of Investment Adviser Representatives
Chapter 1: Regulations of Firms and Individuals - E. Registration Application
Chapter 1: Regulations of Firms and Individuals - F. Sale, Offer to Sell, and Offer to Purchase
Chapter 2: Regulations of Securities and Issuers - A. Issuers
Chapter 2: Regulations of Securities and Issuers - B. Securities
Chapter 2: Regulations of Securities and Issuers - C. Registration of Securities
Chapter 2: Regulations of Securities and Issuers - D. Exemptions
Chapter 2: Regulations of Securities and Issuers - E. Summary
Chapter 3: Remedies and Administrative Provisions - A. Authority of State Securities Administrators
Chapter 3: Remedies and Administrative Provisions - B. Administrative Actions
Chapter 3: Remedies and Administrative Provisions - C. Penalties and Liabilities
Chapter 3: Remedies and Administrative Provisions - D. Summary
Chapter 4: Communication with Customers and Prospects - A. Investment Adviser Advertising
Chapter 4: Communication with Customers and Prospects - B. Disclosure of Material Information
Chapter 4: Communication with Customers and Prospects - C. Client Confidentiality
Chapter 4: Communication with Customers and Prospects - D. Financial Exploitation of Vulnerable Adults
Chapter 4: Communication with Customers and Prospects - E. Performance Guarantees
Chapter 4: Communication with Customers and Prospects - F. Administrative Provisions and Actions
Chapter 4: Communication with Customers and Prospects - G. Summary
Chapter 5: Ethical Practices and Obligations - A. Compensation and Other Issues
Chapter 5: Ethical Practices and Obligations - B. Suitability
Chapter 5: Ethical Practices and Obligations - C. Customer Funds and Securities
Chapter 5: Ethical Practices and Obligations - D. Market Manipulation
Chapter 5: Ethical Practices and Obligations - E. Fraud and Misrepresentation
Chapter 5: Ethical Practices and Obligations - F. Other Prohibited Practices
Chapter 5: Ethical Practices and Obligations - G. Prudent Investor Standard of Care
Chapter 5: Ethical Practices and Obligations - H. Use on Non-Public Information
Chapter 5: Ethical Practices and Obligations - I. Loans to and From Customers
Chapter 5: Ethical Practices and Obligations - J. Insider Trading
Chapter 5: Ethical Practices and Obligations - K, L, M - Selling Away, Excessive Trading, and Outside Securities Accounts
Chapter 5: Ethical Practices and Obligations - N. Cybersecurity, Privacy, and Data Protection
Chapter 5: Summary
