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.
We’re talking about the guys and gals who represent, or work for, the broker-dealers and investment adviser firms. They’re called ‘agents’ and the Uniform Securities Act defines them as:
“Agent means any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect transactions in securities.”
On the buy side, individuals who work for investment adviser firms are called investment advisor representatives (how’s that for a mouth...
Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!