General Securities Representative Qualification
The Crunch Time Facts are a collection of statements that we beeil ve are valuable as you engage in the fnali preparatoi n to sti for your examnati oi n. These facts are not desgnei d to raise questoi ns ; instead, they are to
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Securities Industry Essentials
cdn.stcinteractive.comI. The clearing firm must maintain all client information for a fully disclosed account II. Specific client information is held by the clearing firm in an omnibus account III. The executing firms are subject to counterparty risk when clearing trades through the DTCC IV. The Options Clearing Corporation only works with broker-dealers
Securities Industry Essentials
cdn.stcinteractive.cominvestors (e.g., banks, IAs, investment companies), FINRA’s suitability rules apply. Titles . Under Reg BI, unless a broker-dealer is also a registered investment adviser (i.e., the firm is dually registered as a broker-dealer and an adviser), the SEC has stated that it’s a violation of the disclosure obligation to use either the term
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Securities Industry Essentials
cdn.stcinteractive.comThe Crunch Time Facts are a collection of statements that we believe are valuable as you engage in the final preparation to sit for your examination. These facts are not designed to raise questions; instead, they are to be part of your final review and used with any notes that you created during your studies.