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mayco h
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Decks in this class (7)
Security Defined
What is a security 1,
What are whiskey warehouse receip...,
What are multilevel distribution ...
8
cards
State Registration of Securities
According to the usa it is unlawf...,
What needs to be filed in order t...,
Who can file the registration sta...
9
cards
Registration by Filing (Notification)
What is registration by filing no...,
Registration by filing is the ___...,
What are the conditions needed in...
8
cards
Registration by Coordination
What is registration by coordinat...,
What needs to be included in the ...,
When is the effective date of reg...
3
cards
Registration by Qualification
What is registration by qualifica...,
Registration by _______ is the mo...,
What documents is needed for regi...
4
cards
Denial, Suspension, or Revocation of a Securities Registration
What are the conditions for an ad...,
Can the admin put a stop order on...,
In registration by coordination o...
3
cards
Exempt Securities and Transactions
What are considered exempt securi...,
What is considered an exempt txn 2,
First go pu something s not clean 3
10
cards
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Series 63 Chapter 2
- Class purpose General learning
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