NAME

Question types


Start with


Question limit

of 29 available terms

Advertisement Upgrade to remove ads
Print test

5 Written questions

5 Matching questions

  1. 5B
  2. 6B
  3. 5A
  4. V
  5. VI
  1. a Conflicts of Interest
  2. b Investment Analysis, Recommendation, Action
  3. c Priority of Transaction
  4. d Diligence and Reasonable Basis
  5. e Communication with Clients and Prospective Clients

5 Multiple choice questions

  1. Record Retention
  2. Loyalty Prudence and Care
  3. Disclosure of Conflicts
  4. Responsibility of Supervisor
  5. Preservation of Confidentiality

5 True/False questions

  1. IIIIntegrity of Capital Market

          

  2. 7BPriority of Transaction

          

  3. 1AKnowledge of the L(A)w

          

  4. 1CMisrepresentation

          

  5. VIIDuties to Client

          

Create Set