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When taking your exam, don't think about the song "Camptown Races." (We said, DON'T think about the song. Or going to the bathroom.)

Drills

All the drills are here on one page
Prologue
Ethical Practices and Fiduciary Obligations
  • Fixed-Income Drill
    Start
  • Equities & Funds Drill
    Start
  • Myron's Trading Floor Drill
    Start
  • Case Study: Bernie Madoff Drill
    Start
  • Unsuitable Recommendations Drill
    Start
Violations
  • Churning Drill
    Start
  • Unauthorized Transactions Drill
    Start
  • Unauthorized Third Parties Drill
    Start
  • Refusing or Ignoring a Customer's Legitimate Instructions Drill
    Start
  • 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
    Start
  • Improper Use of the Word "Guarantee" Drill
    Start
  • Misusing "Certified" or "Approved" Drill
    Start
  • Insider Information Drill
    Start
  • Outside Business Activities Drill
    Start
  • Selling Away Drill
    Start
  • Arbitrage Drill
    Start
  • Potential Conflicts of Interest Drill
    Start
  • Advertisements Drill
    Start
  • Custody of Client Assets Drill
    Start
  • Contracts and Compensation for Investment Advisers Drill
    Start
  • Regulation Drill
    Start
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
    Start
  • Money Matters Drill
    Start
  • Organization and Paperwork Drill
    Start
State Securities Acts and Related Rules and Regulations
  • Investment Advisors: What They're Not Drill
    Start
  • Exemptions Drill
    Start
  • Who Doesn't Need to Register Drill
    Start
  • Agents Drill
    Start
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
    Start
  • Exempt Securities Drill
    Start
  • Exempt Transactions Drill
    Start
  • Offers Made Over State Lines Drill
    Start

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