Check out Primary Market '33 Act next ru-vid.com/video/%D0%B2%D0%B8%D0%B4%D0%B5%D0%BE-TId9UhMN0_s.html
00:01 Anti Money Laundering
08:25 AML practice question
10:23 Types of B/Ds
14:55 SIPC
20:06 Reg SP
20:48 SP practice question
21:58 Insider Trading Act of 1988
27:48 Uniform Securities Act
30:57 FINRA
32:10 Very important answer set
36:45 U-4 and U-5
44:55 Code of conduct !!!!!!!!!!!!!!!!!!!
56:08 4 practice questions
1:02:10 Customer complaints
1:05:06 Code of procedure
1:08:12 Code of arbitration
1:10:53 Retail communications
8 мар 2021
