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Practice Exams
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Vocabulary
Dancing silently in your chair = appropriate celebration. Jabbing your pencil in the air and yelling "IN YOUR FACE, ETS" = not so much.

Drills

All the drills are here on one page
State Securities Acts and Related Rules and Regulations
  • Investment Advisors: What They're Not Drill
    Start
  • Exemptions Drill
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  • Who Doesn't Need to Register Drill
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  • Agents Drill
    Start
Prologue
Ethical Practices and Fiduciary Obligations
  • Fixed-Income Drill
    Start
  • Equities & Funds Drill
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  • Myron's Trading Floor Drill
    Start
  • Case Study: Bernie Madoff Drill
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  • Unsuitable Recommendations Drill
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Violations
  • Churning Drill
    Start
  • Unauthorized Transactions Drill
    Start
  • Unauthorized Third Parties Drill
    Start
  • Refusing or Ignoring a Customer's Legitimate Instructions Drill
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  • Recap #5 Drill
    Start
  • Misappropriation of Client Funds Drill
    Start
  • Unauthorized Borrowing of Client Funds Drill
    Start
  • Sharing in a Client's Profits/Losses Drill
    Start
  • Soliciting Orders for Unregistered, Non-Exempt Securities Drill
    Start
  • Hiding Written Complaints Drill
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  • Improper Use of the Word "Guarantee" Drill
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  • Misusing "Certified" or "Approved" Drill
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  • Insider Information Drill
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  • Outside Business Activities Drill
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  • Selling Away Drill
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  • Arbitrage Drill
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  • Potential Conflicts of Interest Drill
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  • Advertisements Drill
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  • Custody of Client Assets Drill
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  • Contracts and Compensation for Investment Advisers Drill
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  • Regulation Drill
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Remedies and Administrative Provisions
  • The Administrator's Office Drill
    Start
Registration of Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives
  • Corporations and Individuals Drill
    Start
  • Broker-Dealers and Investment Advisors Drill
    Start
  • Agent Broker-Dealers and Representative Investment Advisors Drill
    Start
  • Registering 101 Drill
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  • Money Matters Drill
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  • Organization and Paperwork Drill
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Registration of Securities and Issuers
  • Securities: What They Are Drill
    Start
  • Registering Securities Drill
    Start
  • Administrative Stop Orders Drill
    Start
  • Methods of Securities Registration Drill
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  • Exempt Securities Drill
    Start
  • Exempt Transactions Drill
    Start
  • Offers Made Over State Lines Drill
    Start