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.
During his lunch break, Eddie continued reading from the handouts.
When an investment advisory firm has physical possession of a client's assets, including cash, funds, or other types of investment securities, they are said to have custody of client assets. Custody of assets is almost always handled by a bank or trust company, basically because it's a huge headache due to stringent recordkeeping and minimum net capital requirements.
The Uniform Securities Act states, "It is unlawful for any...
Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!