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Drills
Practice Exams
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Don't go to your exam hungry. I recommend grass and berries, but you might want your brain food to be a little more substantial.

Drills

All the drills are here on one page
Client Investment Recommendations and Strategies
  • Know Thy Client Drill
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  • Types of Brokerage Accounts Drill
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  • UGMA and UTMA Drill
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  • How to Not (Financially) Screw Your Clients Drill
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  • Client Compensation: Show Me the Money! Drill
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  • Soft Dollars Drill
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  • Disclosure of Compensation Drill
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  • Discretion Drill
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  • Prudent Man Standards Drill
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  • Excessive Trading Drill
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  • Sharing in Client Accounts Drill
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  • Selling Away Drill
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  • Market Manipulation Drill
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  • Type of Client Drill
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  • (A) Trust Is a Beautiful Thing Drill
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  • Estates Drill
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  • Portfolio Management Styles & Strategies Drill
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  • Portfolio Management Techniques Drill
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  • The Tax Man Cometh Drill
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  • Taxes Galore Drill
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  • Options: Good, Bad, Ugly Drill
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  • Insurance, Anyone? Drill
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  • Retiring Should Only Be Done by Goodyear Drill
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  • Qualified Retirement Plans Drill
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  • Special Accounts Drill
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Economic Factors and Business Information
  • Interest Rates Drill
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  • Flavors of Partnership Drill
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Investment Vehicle Characteristics, Part I
  • The Facebook Deal: Equity Lowdown Drill
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  • In the Mood to Share Drill
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  • Balance Sheet B.S. Drill
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  • Governing: Who's the Boss? Drill
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  • Vote by Rote Drill
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  • Shareholder Rights Drill
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  • Munchausen by Proxy Drill
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  • Margins Drill
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  • Corporate and SEC Filings Drill
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Laws, Regulations, and Guidelines, Including Prohibitions on Unethical Business Practices
  • Fed Regulatory Acts, and a Bunch of Terms to Remember… Drill
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  • Remedies and Administrative Provisions Drill
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  • Regulation Regurgitation Drill
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  • Registering Securities Drill
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  • The IPO: Key Players and the IPO Process from the Inside Drill
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  • An IPO in Three Slices Drill
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  • Pricing Facebook for the Public Drill
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  • Three Paths to an IPO Drill
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  • Trading Through the IPO Drill
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Investment Vehicle Characteristics, Part II
  • Bondage, Anyone? Raising Debt, Not Cain Drill
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  • Straight vs. Cumulative Preferred Drill
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  • Non-Religious Conversion of Preferred Stock Drill
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  • Pricing Bonds: Ratings, Risk and Liquidity Drill
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  • Bond Ratings Drill
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  • Bond Laws: Disclosure Drill
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  • Bond Yields Drill
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  • Bond Priority Drill
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  • Funded Debt Drill
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  • Agency Bonds Drill
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  • How Bonds Are Quoted Drill
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  • Bond Maturities Drill
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  • Bond Flavors: Types of Bonds Drill
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  • How Bonds Are Registered Drill
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  • Key Vocab Terms to Know for the 65 Drill
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  • Cash Equivalents Drill
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