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Drills

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Ethical Practices and Fiduciary Obligations
  • Fixed-Income A LA Shmoop Quizlet
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  • Equities & Funds A La Shmoop Quizlet
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  • Meeting Three: Myron is...Iffy Quizlet
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  • CASE STUDY: You Can't Forget Bernie Quizlet
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  • Unsuitable Recommendations Quizlet
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Violations
  • Granny Didn't Churn Like This Quizlet
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  • Unauthorized Transactions Quizlet
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  • A Fateful Call Quizlet
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  • Lalalalalalalala! (With Fingers in Your Ears) Quizlet
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  • SSPN: ShmoopCenter Recap #5 Quizlet
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  • Misappropriation of Client Funds Quizlet
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  • The "I Promise to Give It Back as Soon as I'm Done with It" Schtick Quizlet
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  • Sharing in a Client's Profits/Losses Quizlet
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  • Soliciting Orders for Unregistered, Non-Exempt Securities Quizlet
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  • No Worries Quizlet
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  • Improper Use of the Word "Guarantee" Quizlet
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  • The Great ACRONYM Heist: Misusing "Certified" or "Approved" Quizlet
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  • Insider Information Quizlet
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  • Outside Business Activities Quizlet
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  • Selling Away Quizlet
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  • Arbitrage Quizlet
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  • Potential Conflicts of Interest Quizlet
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  • Advertisements Quizlet
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  • Custody of Client Assets Quizlet
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  • Contracts and Compensation for Investment Advisers Quizlet
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  • Regulators, Mount Up! Quizlet
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Remedies and Administrative Provisions
  • I Am the Administrator and I Do Not Approve This Message Quizlet
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Registration of Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives
  • Corporations Are People, Too Quizlet
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  • The Difference Between Cats and Dogs...Um, BDs and IAs Quizlet
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  • Meet Agent Broker-Dealer And Representative Investment Advisor Quizlet
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  • The ABC's of Registering Quizlet
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  • Show Me the Money Quizlet
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  • Yes, Being Organized is an Official Requirement Quizlet
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State Securities Acts and Related Rules and Regulations
  • I Am Not an Investment Adviser…For Sure Quizlet
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  • AHHHH! Exemptions Quizlet
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  • You Don’t Gotta Register! Quizlet
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  • Agents Quizlet
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Registration of Securities & Issuers
  • We Are Securities Quizlet
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  • Registering Securities (Or What Happened to My Life?!) Quizlet
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  • Administrative Stop Orders Quizlet
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  • Methods of Securities Registration Quizlet
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  • Exempt Securities Quizlet
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  • Exempt Transactions Quizlet
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  • Headscratcher: How Do You Handle Offers Made Over State Lines? Quizlet
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