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22.05 S63 Course
> KP3: Regulations of IA & IARs > Flashcards
KP3: Regulations of IA & IARs Flashcards
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22.05 S63 Course
(12 decks)
Registration & Licensing Requirements
Securities Registration
Business Practices
Administrative Procedures
KP1: Definitions Under the Uniform Securities Act
KP2: Regulation of BD & Agents
KP3: Regulations of IA & IARs
KP4: Securities & Their Issuers, Reg, Exemptions
KP5: Remedies & Administrative Provisions
KP6: Communications w/ Customers & Prospects
KP7: Ethical Practices & Obligations
KP8: Customer Protection
