This class was created by Brainscape user Justin Paradis. Visit their profile to learn more about the creator.
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Justin Paradis
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Decks in this class (35)
Chapter 1: Regulations of Firms and Individuals - A. Regulations Of Broker/Dealers
No deck description has yet been added by the author.
12
cards
Chapter 1: Regulations of Firms and Individuals - B. Regulations of Agents Of Broker/Dealers
No deck description has yet been added by the author.
8
cards
Chapter 1: Regulations of Firms and Individuals - C. Regulations of Investment Advisers
No deck description has yet been added by the author.
7
cards
Chapter 1: Regulations of Firms and Individuals - D. Regulations of Investment Adviser Representatives
No deck description has yet been added by the author.
4
cards
Chapter 1: Regulations of Firms and Individuals - E. Registration Application
No deck description has yet been added by the author.
11
cards
Chapter 1: Regulations of Firms and Individuals - F. Sale, Offer to Sell, and Offer to Purchase
No deck description has yet been added by the author.
4
cards
Chapter 2: Regulations of Securities and Issuers - A. Issuers
No deck description has yet been added by the author.
3
cards
Chapter 2: Regulations of Securities and Issuers - B. Securities
No deck description has yet been added by the author.
9
cards
Chapter 2: Regulations of Securities and Issuers - C. Registration of Securities
No deck description has yet been added by the author.
8
cards
Chapter 2: Regulations of Securities and Issuers - D. Exemptions
No deck description has yet been added by the author.
31
cards
Chapter 2: Regulations of Securities and Issuers - E. Summary
No deck description has yet been added by the author.
1
cards
Chapter 3: Remedies and Administrative Provisions - A. Authority of State Securities Administrators
No deck description has yet been added by the author.
3
cards
Chapter 3: Remedies and Administrative Provisions - B. Administrative Actions
No deck description has yet been added by the author.
7
cards
Chapter 3: Remedies and Administrative Provisions - C. Penalties and Liabilities
No deck description has yet been added by the author.
5
cards
Chapter 3: Remedies and Administrative Provisions - D. Summary
No deck description has yet been added by the author.
1
cards
Chapter 4: Communication with Customers and Prospects - A. Investment Adviser Advertising
No deck description has yet been added by the author.
18
cards
Chapter 4: Communication with Customers and Prospects - B. Disclosure of Material Information
No deck description has yet been added by the author.
1
cards
Chapter 4: Communication with Customers and Prospects - C. Client Confidentiality
No deck description has yet been added by the author.
1
cards
Chapter 4: Communication with Customers and Prospects - D. Financial Exploitation of Vulnerable Adults
No deck description has yet been added by the author.
1
cards
Chapter 4: Communication with Customers and Prospects - E. Performance Guarantees
No deck description has yet been added by the author.
1
cards
Chapter 4: Communication with Customers and Prospects - F. Administrative Provisions and Actions
No deck description has yet been added by the author.
21
cards
Chapter 4: Communication with Customers and Prospects - G. Summary
No deck description has yet been added by the author.
1
cards
Chapter 5: Ethical Practices and Obligations - A. Compensation and Other Issues
No deck description has yet been added by the author.
6
cards
Chapter 5: Ethical Practices and Obligations - B. Suitability
No deck description has yet been added by the author.
1
cards
Chapter 5: Ethical Practices and Obligations - C. Customer Funds and Securities
No deck description has yet been added by the author.
8
cards
Chapter 5: Ethical Practices and Obligations - D. Market Manipulation
No deck description has yet been added by the author.
4
cards
Chapter 5: Ethical Practices and Obligations - E. Fraud and Misrepresentation
No deck description has yet been added by the author.
1
cards
Chapter 5: Ethical Practices and Obligations - F. Other Prohibited Practices
No deck description has yet been added by the author.
2
cards
Chapter 5: Ethical Practices and Obligations - G. Prudent Investor Standard of Care
No deck description has yet been added by the author.
6
cards
Chapter 5: Ethical Practices and Obligations - H. Use on Non-Public Information
No deck description has yet been added by the author.
2
cards
Chapter 5: Ethical Practices and Obligations - I. Loans to and From Customers
No deck description has yet been added by the author.
1
cards
Chapter 5: Ethical Practices and Obligations - J. Insider Trading
No deck description has yet been added by the author.
5
cards
Chapter 5: Ethical Practices and Obligations - K, L, M - Selling Away, Excessive Trading, and Outside Securities Accounts
No deck description has yet been added by the author.
3
cards
Chapter 5: Ethical Practices and Obligations - N. Cybersecurity, Privacy, and Data Protection
No deck description has yet been added by the author.
2
cards
Chapter 5: Summary
No deck description has yet been added by the author.
0
cards
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series 63 exam
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