Series 63: Suggested Notecards

Taken from our Series 63 Online Guide

Suggested Notecards

Define conflict of interest.

Define excessive trading.

How many trades does it take to be considered excessive?

What is another name for excessive trading?

Who can loan money to their clients?

Who can borrow money from their clients?

What clients are eligible for a “ performance-based” compensation arrangement?

What client information must a professional keep confidential?

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