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Flashcards in Chapter Outline Deck (46)
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Ch1
A

Registrant code of ethics

1

Ch1
B

Fiduciary duty

2

Ch2
A

General principles of securities regulation

3

Ch2
B

Key players involved in securities regulation

4

Ch2
C

Self regulatory organizations (SRO's)

5

Ch2
D

The exchanges and marketplaces in canada

6

Ch2
E

Designated stock exchanges

7

Ch2
F

Dealing with money laundering and terrorist financing in the securities industry

8

Ch2
G

Investor protection funds

9

Ch2
H

Protection for depositors

10

Ch3
A

Types of registration

11

Ch2
B

Categories of registration

12

Ch3
C

Exemptions from registration

13

Ch3
D

Registration of an individual as a registered representative

14

Ch4
A

Opening accounts

15

Ch4
B

Client records

16

Ch5
A

Know your product (KYP) and suitability

17

Ch5
B

Rules of conduct

18

Ch5
C

Principal vs agency transactions

19

Ch5
D

Concerns about client trading

20

Ch5
E

Account activity and money laundering red flags

21

Ch5
F

Dealing with confidential information

22

Ch5
G

Commisions and other compensation

23

Ch5
H

Personal financial dealings

24

Ch6
A

How securities are traded

25

Ch6
B

Placing an order

26

Ch6
C

Types of orders

27

Ch6
D

Settlement of traded

28

Ch6
E

Errors

29

Ch7
A

Accounting for client transactions