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Investment Bank - Basics

Investment Bank - Registration of Securities

Investment Bank - Exempt Securities & Transactions

Investment Bank - Special Transactions

Investment Bank - Securities Exchange Act of 34

Investment Bank - Compensations, M&A, Misc


Sales Supervision - Becoming a Finra Member

Sales Supervision - Registration of Personel

Sales Supervision - Other Finra Rules

Sales Supervision - Finra Communications Rules

Sales Supervision - Supervising Sales

Sales Supervision - Research Report Rules

Sales Supervision - Conduct Rules

Sales Supervision - Uniform Practice Code

Sales Supervision - Dispute Procedures

Customer Accounts & Margin 

Customer Accounts
Other Accounts
Anti Money Laundering
Intro to Margin
Long Map of Margin
Short Map of Margin
Misc. Margin

Investment Co/Annuities/Retirements 

What is an Investment?

Open End Investment Companies 

Why buy investment companies?




Trading Markets - Introduction

Trading Markets - Floor of the NYSE

Trading Markets - Types of Orders

Trading Markets - Corporate Actions

Trading Markets - Circuit Breakers

Trading Markets - Intro to Nasdaq

Trading Markets - More Nasdaq

Trading Markets - Regulation NMS/ATS

Trading Markets - 21A

Trading Markets - 3rd Market

Trading Markets - OTCBB/PINK

Trading Markets - Trade Reporting & 5% Markup Policy

Net Capital and Record keeping


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