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Mastering Series 63
- A Comprehensive Guide to the Uniform Securities Agent State Law Exam
- Binding:
- Paperback
- Pages:
- 64
- Published:
- August 15, 2023
- Dimensions:
- 152x229x3 mm.
- Weight:
- 100 g.
Delivery:
1-2 weeks
Expected delivery: December 8, 2024
Description of Mastering Series 63
Mastering Series 63: A Comprehensive Guide to the Uniform Securities Agent State Law Exam Table of Contents Chapter 1: Securities Industry Overview Chapter 2: State Securities Laws Chapter 3: Registration and Regulation of Broker-Dealers Chapter 4: Registration and Regulation of Agents Chapter 5: Securities Registration and Exemption Chapter 6: Securities Investigations and Enforcement Chapter 7: Communications with Clients and Prospects Chapter 8: Securities Products and their Risks Chapter 9: Investment Advisers and their Regulation Chapter 10: Regulation of Investment Adviser Representatives Chapter 11: Administration and Record Keeping Chapter 12: Customer Accounts and Anti-Money Laundering (AML) Regulations Chapter 13: Ethical Practices and Professional Standards Chapter 14: Enforcement and Discipline Chapter 15: Uniform Securities Act and Other Important Rules
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