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Rachel McGovern
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Decks in this class (12)
Ch. 1
Identify who is considered a pers...,
A securities firm that executes t...,
T f the uniform securities act is...
33
cards
Ch. 2
Is a futures contract considered ...,
State registration remains in eff...,
According to nsmia when is an inv...
120
cards
Ch. 3
Identify the acronym crd 1,
Is there a limit to the amount of...,
What is a consent to service of p...
73
cards
Ch. 4
Under the ia act of 1940 when mus...,
T f an administrator will inspect...,
An ia is required to deliver the ...
135
cards
Ch. 5
Identify the acronym nrsro 1,
T f under the ia act of 1940 perf...,
The ia act of 1940 requires ias t...
75
cards
Ch. 6
T f under the uniform prudent inv...,
What document is required for an ...,
What is not pertinent when openin...
27
cards
Ch. 7
What is a not held order 1,
What is a no load fund 2,
List the access persons of an inv...
102
cards
Ch. 8
T f if finra issues an order agai...,
T f registration denial orders is...,
The appeal of an administrative o...
75
cards
Ch. 9
An underwriter is most likely reg...,
Name two prohibitions that relate...,
The final _______ _____ will not ...
56
cards
Ch. 10
The tax treatment of a limited li...,
What are the different terms used...,
Define vesting 3
171
cards
Ch. 11
T f a section 3 c 7 hedge fund ma...,
Define insured 2,
Who assumes the investment risk i...
151
cards
Ch. 12
T f stop limit orders are guarant...,
T f strategic asset allocation is...,
_________ risk is the inability t...
232
cards
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S 66
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