This class was created by Brainscape user Monika Lesniak. Visit their profile to learn more about the creator.
Flashcard maker:
Monika Lesniak
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Decks in this class (17)
Chapter 1 Overview of Regulation
No deck description has yet been added by the author.
51
cards
Chapter 2 Reg Requirements for Member Firms
No deck description has yet been added by the author.
29
cards
Chapter 3 Registration and Regulation of Broker Dealer Employees
No deck description has yet been added by the author.
43
cards
Chapter 4 Equity and Derivative Securities
No deck description has yet been added by the author.
52
cards
Chapter 5 Fixed-Income Securities
No deck description has yet been added by the author.
38
cards
Chapter 6 Investment Companies
No deck description has yet been added by the author.
26
cards
Chapter 7 Client Accounts
No deck description has yet been added by the author.
50
cards
Chapter 8 Overview of Clearing
No deck description has yet been added by the author.
7
cards
Chapter 8 Part 2 Clearing part 2
No deck description has yet been added by the author.
15
cards
Chapter 9 Order Processing and Trading Markets
No deck description has yet been added by the author.
35
cards
Chapter 10 Cashiering
No deck description has yet been added by the author.
1
cards
Chapter 10 Cashiering
No deck description has yet been added by the author.
22
cards
Chapter 11 Margin
No deck description has yet been added by the author.
23
cards
Chapter 12 Custody and Corporate Actions
No deck description has yet been added by the author.
25
cards
Chapter 13 Record Keeping and Financial Responsibility
No deck description has yet been added by the author.
24
cards
Chapter 14 Retirement and Education Savings Accounts
No deck description has yet been added by the author.
4
cards
Chapter 15 Annuity and Direct Participation
No deck description has yet been added by the author.
15
cards
More about Uncategorized
- Class purpose General learning
The creator of this class did not yet add a description for what is included in this class.
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