This class was created by Brainscape user Robert Woerner. Visit their profile to learn more about the creator.
By:
Robert Woerner
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Decks in this class (12)
Chapter 1 - Brokerage office procedures
U4,
Changes to u4 timeframes,
U5 uniform termination notice for...
19
cards
The Numbers
10 days,
Comprehensive review of the u4,
60 days
6
cards
Chapter 2 - Recordkeeping, financial requirements, and reporting
Rule 17a 3 17a 4,
Records to maintain for 3 years,
Records to maintain for 6 years
35
cards
Chapter 3 - Issuing Corporate Securities
Securities act of 1933,
Registration statement,
Registration process
30
cards
Chapter 4 - Trading Securities
Market order,
Limit order,
Sell stop order
62
cards
Chapter 5 - Recommendations to Customers
Investment objectives,
Income investments,
Growth investments
21
cards
Chapter 6 - General Supervision
Items to be reviewed and approved,
Member offices,
Reps working from home
12
cards
Chapter 7 - Customer Accounts
Opening a customer account,
Customer agreement,
Holding customer securities
20
cards
Chapter 8 - Margin Accounts
Day trading disclosures,
Pattern for day trading accounts,
Portfolio margin accounts
21
cards
Chapter 9 - Investment Companies and Other Products
How investment companies are orga...,
Securities act of 1933,
Investment company act of 1940
28
cards
Chapter 10 - Annuities and Retirement Plans
Variable annuity requirements,
Appropriateness of a variable ann...,
Annuity payout options
10
cards
Chapter 11 - securities industry rules and regulations
Securities exchange act of 1934,
Securities and exchange commissio...,
Sec registrations requirements
29
cards
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series 24
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