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.
That’s right, if you find paperwork behind filing cabinets and client checks in your clothes hamper, the securities industry is not for you. Repeat, not for you. Fastidiousness is a quality consummately to be desired. Registered firms that accept client monies and/or securities for investing and/or safekeeping must keep accurate records of all this stuff.
The Uniform Securities Act loves recordkeeping so much that it gets a legalistic woody over it. See for yourself:
“Every registered bro...
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