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DOWNLOAD SERIES 27/28 SYLLABUS
Options Margin and Haircut Handout
SALES SUPERVISION
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
Net Capital and Recordkeeping
Basic Net Capital
Constructing Net Worth
Assessing Debit Items
Basic Haircuts
Advanced Haircuts
Options Haircuts
Aggregate Indebtedness
Sub Loans
Special Reserve
Other Financial Rules
Munis & The MSRB
Intro to Munis
General Obligation Bonds
Revenue Bonds
Other Types of Munis
The MSRB
Muni Underwriting
Muni Bond Info
Muni Bond Secondary Market