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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Unauthorized transactions is a phrase no client wants to hear: These are transactions that occur in a client’s account that have not been authorized prior to execution. FINRA defines it as “sale or purchase of securities without the investor’s prior knowledge and authorization” and lists it as one of the top four complaints they receive from brokerage customers.
Back in the good old days, the b...
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