1. All the chapters are here.
2. Want to go straight to quizlets? Go here.
3. When you're ready for a practice exam, go here. And remember to hit the restroom before you start.
4. Flashcards: "blah blah blah"
5. Tired of flashcards? Really? Well here's a list of all the words
Ok, if you need to go through this quick and dirty introduction again. You know where to find me.
Please silence your phones. We hope you enjoy the show.
Here's a topic sure to anesthetize your brain: custody.
Custody of client assets is when an investment advisory firm has physical possession of a client's assets, which can include cash, funds, or other types of investment securities. In general, custody of client assets is handled by a bank or trust company because maintaining client assets can be a difficult and meticulous business.
The Uniform Securities Act states:
"It is unlawful for any investment adviser to take or have custody of any...
Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!