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.
Well, here we go again – more exemption talk – with a little exclusion chatter thrown in for good measure. Anybody want to scream, go ahead, we’ll break for a moment.
So what do an agent, an issuer and a bank, savings institution or trust company have in common?
They ain’t broker-dealers! If you think that observation belongs in the no-duh-Sherlock category, you aren’t wrong. But just remember, a BD can be a natural person or a business entity. An agent, an issuer and a bank, savings ins...
Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!