This class was created by Brainscape user Carrie L. Visit their profile to learn more about the creator.

Flashcard maker: Carrie L

Decks in this class (21)

Unit 3- Extension of Credit
The creator of this deck did not yet add a description for what is included in this deck.
62  cards
Unit 1- Uniform Net Capital Rules
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169  cards
Unit 2- Record Keeping & Reporting Responsibilities
The creator of this deck did not yet add a description for what is included in this deck.
146  cards
Unit 4 - Customer Protection
The creator of this deck did not yet add a description for what is included in this deck.
103  cards
Unit 5 - Other SEC and FINRA Rules
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92  cards
Unit 6 - Uniform Practice Rules
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70  cards
Unit 7 - Municipal Securities Rules
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76  cards
Exam 1
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145  cards
Exam 2
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147  cards
Exam 3
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144  cards
Exam 4
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205  cards
Series 27 Practice Test 1
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347  cards
Uniform Net Capital Rules
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46  cards
Net Capital Requirements
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37  cards
Customer Protection Rule
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33  cards
Net Capital Computation
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83  cards
FINRA Membership and Conduct Rules
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23  cards
Other Relevant Regulations and Interpretations
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32  cards
Record-Keeping and Reporting Requirements
The creator of this deck did not yet add a description for what is included in this deck.
45  cards
Other
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10  cards
FAR - Framework/Overview - FASB, Role/Standard Setting, FASB/Standard Setting
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47  cards

More about copy

  • Class purpose General learning

The creator of this class did not yet add a description for what is included in this class.

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