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.
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In the wide world of finance, broker-dealers (BDs) and investment advisors (IAs) are considered "persons" in the legal sense—but don't confuse them with "natural persons." Legally speaking, "person" can often refer to a broker-dealer or investment advisor firm, which are in turn made up of "natural persons" (individuals) who are the agents or investment advisor representatives.In the wide world of finance, broker-dealers (BDs) and investment advisers (IAs) are considered ‘persons’ in the lega...
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