|
1
|
Note from Publisher
|
|
0:56 |
|
|
2
|
Copyright
|
|
0:21 |
|
|
3
|
Introduction
|
|
9:25 |
|
|
4
|
Chapter One - 1.2.2.2. FINRA Membership
|
|
18:49 |
|
|
5
|
1.2.2.3. Becoming A Member Investment Advisers - 1.2.3.2.2. Limited Principles
|
|
16:05 |
|
|
6
|
1.2.3.3. Representatives - 1.2.4.5. Business Continuity Plans
|
|
14:00 |
|
|
7
|
1.2.5. Conditions Of Individual Registration - 1.2.7. Sanctions Against Broker-Dealers
|
|
15:44 |
|
|
8
|
Chapter Two - 2.1.5.4. Investigation Of Registered Personnel
|
|
16:34 |
|
|
9
|
2.1.6. Member Supervisory Controls - 2.2.1.4.1. Bank Secrecy Act
|
|
16:02 |
|
|
10
|
2.2.1.4.2. Office Of Foreign Assets Control - 2.2.1.6. Soft Dollar Arrangements
|
|
16:40 |
|
|
11
|
2.2.2. Managing Conduct With The Public - 2.2.3. Reporting Behavior Violations
|
|
17:44 |
|
|
12
|
2.3. Managing Compensation Practices - 2.4.1.1.1. Form CRS
|
|
22:44 |
|
|
13
|
2.4.2. Risk Assessment Of Securities Products - 2.5.3.3. Minor Rule Violations
|
|
18:00 |
|
|
14
|
2.5.3.4. Formal Hearings - 2.5.4.3. Arbitration Process
|
|
16:53 |
|
|
15
|
2.5.4.3.1. Simplified Arbitration - 2.6.5. Three Year Records
|
|
10:28 |
|
|
16
|
2.6.6. Preservation Of Other Records - 2.7.1.3. Non-Allowable Assets
|
|
18:02 |
|
|
17
|
2.7.1.3.1. Tentative Net Capital - 2.7.1.5.1. Notification Of Net Capital Shortfall
|
|
19:00 |
|
|
18
|
2.7.1.6. Debt To Equity Requirements - 2.7.3.3. Treatment Of Free Credit Balances
|
|
14:21 |
|
|
19
|
2.7.4. Broker-Dealer Reporting Rule - 2.7.9. Securities Investor Protection Act
|
|
18:23 |
|
|
20
|
2.7.9.1. SIPC Rules - 2.7.10.4. Allocation Procedure
|
|
9:52 |
|
|
21
|
Chapter Three - 3.2.1.3. Multiple Individual Accounts
|
|
16:44 |
|
|
22
|
3.2.2. Joint Accounts - 3.4.1.1. Periodic Confirmations
|
|
18:14 |
|
|
23
|
3.4.2. Account Transfers - 3.7.1.4. Disclosure Document
|
|
19:35 |
|
|
24
|
3.7.2. Long Positions In Margin Accounts - 3.7.2.6. First Trade In A Long Margin Account
|
|
13:56 |
|
|
25
|
3.7.3. Short Positions In Margin Accounts - 3.7.6. Margin Requirements For Credit Default Swaps
|
|
17:50 |
|
|
26
|
3.7.7. Marginable Securities - 3.7.11.3. Buying Power Of Day Trading Accounts
|
|
18:01 |
|
|
27
|
3.8. Packaged Securities Investment Company Accounts - 3.8.1.6. Prohibited Mutual Fund Practices
|
|
21:17 |
|
|
28
|
3.8.2. Management Companies Closed-End Funds - 3.8.5.7. Selling Dividends
|
|
21:35 |
|
|
29
|
3.8.5.8. Fund Name Rule - 3.8.7.2.2.1. Accumulation Units Subaccounts
|
|
18:25 |
|
|
30
|
3.8.7.2.2.2. Annuity Units And Periodic Payments - 3.9.3.2. SIMPLE Plans
|
|
21:49 |
|
|
31
|
3.9.4. Non-Qualified Retirement Plans - 3.10.6.1. Coverdell Education Savings Account
|
|
17:34 |
|
|
32
|
3.10.6.2. Qualified Tuition Plans - 3.11.3.2. Financial Performance Disclosures
|
|
17:47 |
|
|
33
|
3.11.4. Supplemental Sales Literature - 3.11.6.3.5. Investment Analysis Tools
|
|
17:47 |
|
|
34
|
3.11.7. Communications That Do Not Need To Be Filed With FINRA - 3.11.12. Communications Regarding Variable
|
|
16:41 |
|
|
35
|
3.11.13. Telemarketing - 3.12.2. Improper Use Of Discretionary Accounts
|
|
5:36 |
|
|
36
|
Chapter Four - 4.1.2.4. Bond Offerings
|
|
19:45 |
|
|
37
|
4.1.3. Types Of Issuer Organizations - 4.1.4.2. Underwriting Agreement
|
|
18:28 |
|
|
38
|
4.1.4.3. Selected Dealers Agreement - 4.1.5.4.1. Pre-Filing Period
|
|
17:54 |
|
|
39
|
4.1.5.4.2. Cooling-Off Period - 4.1.7. Underwriting Compensation
|
|
19:21 |
|
|
40
|
4.1.7.1. Unsold Shares Of A Public Offering - 4.1.10. Communications Guidelines Cooling Off Period
|
|
14:39 |
|
|
41
|
4.1.10.1. Research Reports - 4.1.12.6. Denial Suspension Revocation Of Registration
|
|
15:11 |
|
|
42
|
4.2. IPO Distribution Rules And Restricted Practices - 4.2.5.3. Selling Securities Before The Security Opens For Trading
|
|
18:36 |
|
|
43
|
4.2.6. Regulation M And Market Manipulation - 4.2.7. Lock Up Agreements
|
|
16:01 |
|
|
44
|
4.2.8. Issuer Reports - 4.2.8.9. Insider Beneficial Ownership Reports
|
|
17:03 |
|
|
45
|
4.2.9. Exemptions From The Registration Process - 4.2.9.5. Exemptions For Offshore Transactions
|
|
15:18 |
|
|
46
|
4.2.10. Rule 144 Resales Of Restricted And Control Securities - 4.3.1.3. Regulation MA Rule 165
|
|
16:33 |
|
|
47
|
4.3.2. Tender Offers - 4.4.1. Issuer Buy Back Rules
|
|
17:29 |
|
|
48
|
4.5. Asset Backed Securities - 4.5.3. Regulation AB II
|
|
12:44 |
|
|
49
|
4.6. Research Analysts And Research Reports - 4.6.9. Retaliation Against Research Analysts Prohibited
|
|
16:14 |
|
|
50
|
Chapter Five - 5.2.1. Auction Markets
|
|
12:23 |
|
|
51
|
5.2.2. Negotiated Markets - 5.4.1. Market Makers
|
|
16:34 |
|
|
52
|
5.5. Auction Markets - 5.5.2.2.1.3.1. Stop Limit Orders
|
|
14:02 |
|
|
53
|
5.5.2.2.2. Types Of Time Orders - 5.6.2.2. Market Maker Withdrawals
|
|
19:08 |
|
|
54
|
5.6.2.3. Market Participant Identifiers - 5.6.5.4. Non-Directed Directed Preferences Orders
|
|
18:22 |
|
|
55
|
5.6.6. Executing Orders At The Nasdaq Market Center - 5.7.1.3. Risk Management Function
|
|
14:58 |
|
|
56
|
5.7.1.3.1. Reporting ToThe National Securities Clearing Corporation - 5.8.2. Clearance Settlement
|
|
16:22 |
|
|
57
|
5.8.2.1. Clearing Trade Comparison And Confirmations - 5.8.3.9. Rejections And Reclamations
|
|
18:24 |
|
|
58
|
5.8.3.10. Rights And Warrants - 5.8.6.1. Determining A Dividend Distribution
|
|
15:02 |
|
|
59
|
5.8.6.1.1. Different Types Of Settlement Dates - 5.9.2.5. Adjustment Of Open Orders
|
|
15:23 |
|
|
60
|
5.10. SEC Display And Disclosure Rules Regulation NMS - 5.12. Regulation M Rule 105
|
|
18:20 |
|
|
61
|
5.13. SEC Rules To Prevent Market Manipulation - 5.14.8. Third Party Trades
|
|
15:02 |
|
|
62
|
5.15. Trading Halts - 5.16.2. Additional Notes About Markups
|
|
18:14 |
|
