Mastering Series 63: A Comprehensive Guide to the Uniform Securities Agent State

Description: Mastering Series 63 by Innoware Pjp Estimated delivery 3-12 business days Format Paperback Condition Brand New Description Mastering Series 63: A Comprehensive Guide to the Uniform Securities Agent State Law Exam Table of Contents Chapter 1: Securities Industry Overview Chapter 2: State Securities Laws Chapter 3: Registration and Regulation of Broker-Dealers Chapter 4: Registration and Regulation of Agents Chapter 5: Securities Registration and Exemption Chapter 6: Securities Investigations and Enforcement Chapter 7: Communications with Clients and Prospects Chapter 8: Securities Products and their Risks Chapter 9: Investment Advisers and their Regulation Chapter 10: Regulation of Investment Adviser Representatives Chapter 11: Administration and Record Keeping Chapter 12: Customer Accounts and Anti-Money Laundering (AML) Regulations Chapter 13: Ethical Practices and Professional Standards Chapter 14: Enforcement and Discipline Chapter 15: Uniform Securities Act and Other Important Rules Details ISBN-13 9798857730355 Title Mastering Series 63 Author Innoware Pjp Format Paperback Year 2023 Pages 64 Publisher Independently Published GE_Item_ID:144583148; About Us Grand Eagle Retail is the ideal place for all your shopping needs! With fast shipping, low prices, friendly service and over 1,000,000 in stock items - you're bound to find what you want, at a price you'll love! Shipping & Delivery Times Shipping is FREE to any address in USA. Please view eBay estimated delivery times at the top of the listing. Deliveries are made by either USPS or Courier. We are unable to deliver faster than stated. International deliveries will take 1-6 weeks. NOTE: We are unable to offer combined shipping for multiple items purchased. This is because our items are shipped from different locations. Returns If you wish to return an item, please consult our Returns Policy as below: Please contact Customer Services and request "Return Authorisation" before you send your item back to us. Unauthorised returns will not be accepted. Returns must be postmarked within 4 business days of authorisation and must be in resellable condition. Returns are shipped at the customer's risk. We cannot take responsibility for items which are lost or damaged in transit. For purchases where a shipping charge was paid, there will be no refund of the original shipping charge. Additional Questions If you have any questions please feel free to Contact Us. Categories Baby Books Electronics Fashion Games Health & Beauty Home, Garden & Pets Movies Music Sports & Outdoors Toys

Price: 21.41 USD

Location: Fairfield, Ohio

End Time: 2024-11-07T19:01:09.000Z

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