Chapter Outline Flashcards by Andrew Brooks

Q

Ch1

B

A

Fiduciary duty

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch1

A

A

Registrant code of ethics

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

A

A

General principles of securities regulation

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

B

A

Key players involved in securities regulation

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

C

A

Self regulatory organizations (SRO’s)

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

D

A

The exchanges and marketplaces in canada

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

E

A

Designated stock exchanges

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

F

A

Dealing with money laundering and terrorist financing in the securities industry

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

G

A

Investor protection funds

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

H

A

Protection for depositors

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch3

A

A

Types of registration

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch2

B

A

Categories of registration

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch3

C

A

Exemptions from registration

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch3

D

A

Registration of an individual as a registered representative

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch4

A

A

Opening accounts

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch4

B

A

Client records

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch5

A

A

Know your product (KYP) and suitability

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch5

B

A

Rules of conduct

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

Q

Ch5

C

A

Principal vs agency transactions

Q

Ch5

D

A

Concerns about client trading

Q

Ch5

E

A

Account activity and money laundering red flags

Q

Ch5

F

A

Dealing with confidential information

Q

Ch5

G

A

Commisions and other compensation

Q

Ch5

H

A

Personal financial dealings

Ch6 | A

How securities are traded

Ch6 | B

Placing an order

Ch6 | C

Types of orders

Ch6 | D

Settlement of traded

Ch6 | E

Errors

Ch7 | A

Accounting for client transactions

Ch7 | B

Margin accounts

Ch7 | C

Free credit balances

Ch8 | A

General regulations and guidlines for sales literature

Ch8 | B

Mutual fund sales communications

Ch8 | C

Electronic communications

Ch8 | D

General disclosure requirements

Ch8 | E

Communicating trading information to customers

Ch8 | F

Handling client complaints

Ch9 | A

Bringing securities to the market

Ch9 | B

Maintaining publicly trading status

Ch10 | A

Formal take-over bids

Ch10 | B

Insider bids

Ch10 | C

Issuer bids

Ch10 | D

Exempted take-over bids

Ch10 | E

Statutory rights of shareholders

Ch10 | F

Normal course issuer bids