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.
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Let's say that one day, you, the star registered investment professional of Treasure Chest Management LLC, decide that working for the firm is okay, but that you could really make a killing by doing some business of your own outside of your duties at the firm.
Well, you got some 'splainin' to do before you can act on your impulses. A registered rep who decides to pursue outside business activities must first assure his employer that there are no conflicts of interest between the firm and the...
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