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Adam Gravitt
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Decks in this class (8)
Ch. 1 Overview
Exempt 1,
Non exempt 2,
Once established that a security ...
37
cards
Ch. 2 State Registration of Securities
Sec vs wj howey co uses what 4 cr...,
The following are not securities 2,
What is a ponzi scheme 3
55
cards
Ch. 3 State Regulations Governing Broker-Dealers and Agents
What is the first step of the reg...,
What is a consent to service of p...,
When must a filing fee be paid fo...
40
cards
Ch. 4 State and Federal Regulations Government IAs and IARs
Any person that meets the investm...,
All registered investment adviser...,
Advisers with different types of ...
41
cards
Ch. 5 Investment Advisory Practices
A significant focus of the Series 63 Examination will be the relationship between advisory firms and their clients. This chapter reviews the fiduciary responsibilities of the IA and IAR and examines how the information obtained from clients may be used to determine the suitability of investment products and strategies.
21
cards
Ch. 6 Prohibited and Ethical Business Practices Under the USA
The underlying purpose of the Uniform Securities Act is to prevent fraud and to prohibit certain business practices from occurring in the securities industry.
38
cards
Ch. 7 Administration of the USA
Who regulate securities related a...,
Two parts to a transaction 2,
What is jurisdiction 3
35
cards
Practice Exam Explanations
Registration by coordination is u...,
Is an estate considered a person 2,
No front end sales charges or con...
185
cards
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Series 63
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