Series 63 Flashcards

Decks in this Class (12):

• Chapter 1 Investment Advisers

  Chapter 1 - Investment Advisers

  Sample Cards:

  investment advisers,

  three pronged test for an investment adv,

  are you an investment adviser if you eva
  42 Cards
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• Chapter 2 Investment Adviser Representat

  Chapter 2 - Investment Adviser Representatives

  Sample Cards:

  investment adviser representatives are b,

  iars have same exemptions to registratio,

  ias are responsible for for supervising
  12 Cards
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• Chapter 3 Regulation Of Broker Dealers

  Chapter 3 - Regulation of Broker-Dealers

  Sample Cards:

  broker dealers and their agents get paid,

  a broker acts as a go between for two pa,

  a dealer sells clients securities from t
  19 Cards
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• Chapter 4 Regulation Of Agents Of Broker

  Chapter 4 - Regulation of Agents of Broker-Dealers and Agents of Issuers

  Sample Cards:

  an agent has a nearly identical relation,

  definition of an agent includes attempti,

  agents representing broker dealers do no
  17 Cards
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• Chapter 5 Regulation Of Securities And I

  Chapter 5 - Regulation of Securities and Issuers

  Sample Cards:

  definition of person same as 79,

  the uniform securities act defines a sec,

  non securities are
  39 Cards
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• Chapter 6 Remedies And Administrative Pr

  Chapter 6 - Remedies and Administrative Provisions

  Sample Cards:

  the state admin is charged with the foll,

  if a person fails to follow admins direc,

  orders that are sent by the admin are ef
  10 Cards
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• Chapter 7 Communications With Clients An

  Chapter 7 - Communications with Clients and Prospects

  Sample Cards:

  disclosure essentially means,

  situations that require proper disclosur,

  material facts include
  19 Cards
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• Chapter 8 Compensation

  Chapter 8 - Compensation

  Sample Cards:

  must communicate in writing if an ia or,

  bds and agents cant charge for ________,

  bds and agents cant split or pay commiss
  8 Cards
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• Chapter 9 Client Funds And Securities

  Chapter 9 - Client Funds and Securities

  Sample Cards:

  increased control of a clients account b,

  ias who take custody of client assets mu,

  to avoid taking custody ia must
  19 Cards
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• Chapter 10 Conflicts Of Interest And Fid

  Chapter 10 - Conflicts of Interest and Fiduciary Issues

  Sample Cards:

  excessive trading is also called _______,

  churning or excessive trading is recomme,

  most basic conflict of interest is the c
  24 Cards
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• Chapter 11 Federal Securities Acts

  Chapter 11 - Federal Securities Acts

  Sample Cards:

  all the securities regulations are aimed,

  the securities act of 1933,

  exemptions to registration under the act
  14 Cards
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• Incorrect Answer Feedback

  Incorrect Answer Feedback

  Sample Cards:

  the maximum conviction for violating the,

  in order to give advise to an employee b,

  pending lawsuits are required on form ad
  133 Cards
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