This class was created by Brainscape user Monika Lesniak. Visit their profile to learn more about the creator.

Flashcard maker: Monika Lesniak

Decks in this class (17)

Chapter 1 Overview of Regulation
The creator of this deck did not yet add a description for what is included in this deck.
51  cards
Chapter 2 Reg Requirements for Member Firms
The creator of this deck did not yet add a description for what is included in this deck.
29  cards
Chapter 3 Registration and Regulation of Broker Dealer Employees
The creator of this deck did not yet add a description for what is included in this deck.
43  cards
Chapter 4 Equity and Derivative Securities
The creator of this deck did not yet add a description for what is included in this deck.
52  cards
Chapter 5 Fixed-Income Securities
The creator of this deck did not yet add a description for what is included in this deck.
38  cards
Chapter 6 Investment Companies
The creator of this deck did not yet add a description for what is included in this deck.
26  cards
Chapter 7 Client Accounts
The creator of this deck did not yet add a description for what is included in this deck.
50  cards
Chapter 8 Overview of Clearing
The creator of this deck did not yet add a description for what is included in this deck.
7  cards
Chapter 8 Part 2 Clearing part 2
The creator of this deck did not yet add a description for what is included in this deck.
15  cards
Chapter 9 Order Processing and Trading Markets
The creator of this deck did not yet add a description for what is included in this deck.
35  cards
Chapter 10 Cashiering
The creator of this deck did not yet add a description for what is included in this deck.
1  cards
Chapter 10 Cashiering
The creator of this deck did not yet add a description for what is included in this deck.
22  cards
Chapter 11 Margin
The creator of this deck did not yet add a description for what is included in this deck.
23  cards
Chapter 12 Custody and Corporate Actions
The creator of this deck did not yet add a description for what is included in this deck.
25  cards
Chapter 13 Record Keeping and Financial Responsibility
The creator of this deck did not yet add a description for what is included in this deck.
24  cards
Chapter 14 Retirement and Education Savings Accounts
The creator of this deck did not yet add a description for what is included in this deck.
4  cards
Chapter 15 Annuity and Direct Participation
The creator of this deck did not yet add a description for what is included in this deck.
15  cards

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  • 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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