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Mastering Series 24: General Securities Principal Exam Prep
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Publisher: Independently Published
Published: Aug 14 2023
Pages: 82
Weight: 0.27
Height: 0.17 Width: 6.00 Depth: 9.00
Language: English
Chapter 2: Securities Industry Regulation. 6
Chapter 3: Supervision and Compliance. 11
Chapter 4: Registered Representative Supervision. 16
Chapter 5: Trading and Market Making Activities. 21
Chapter 7: Customer Accounts and Suitability. 31
Chapter 8: Investment Company and Variable Contracts Products 36
Chapter 9: Direct Participation Programs (DPPs) and Real Estate Investment Trusts (REITs) 41
Chapter 10: Employee Benefits and Retirement Plans. 46
Chapter 11: Securities and Account Protection. 51
Chapter 12: Margin and Options Trading. 56
Chapter 13: Regulatory Requirements and Continuing Education 61
Chapter 14: Customer Complaints, Arbitration, and Dispute Resolution 66
Chapter 15: Supervisory Procedures and Responsibilities. 71
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