Unit 1: Regulation of Investment Advisers, Including State-Registered and Federal Covered Advisers,
Unit 2: Regulation of Investment Adviser Representatives,
UNIT 3: Regulation of Broker-Dealers and their Agents
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A evaluate a company’s past financial performance and explain how a company’s strategy is reflected in past financial performance;,
B forecast a company’s future net income and cash flow;,
C describe the role of financial statement analysis in assessing the credit quality of a potential debt investment;
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