Review Topics
Practice Exams
Dancing silently in your chair = appropriate celebration. Jabbing your pencil in the air and yelling "IN YOUR FACE, ETS" = not so much.

Organization and Paperwork

If you find paperwork behind filing cabinets and client checks in your clothes hamper, the securities industry is not for you. Fastidiousness is neccary. Registered firms that accept client monies and/or securities for investing and/or safekeeping must keep accurate records of all this stuff.

You better believe that the Uniform Securities Act includes a blurb on their love for recordkeeping. Here, see for yourself:

"Every registered broker-dealer and investment adviser shall make and keep such...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

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