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General Securities Representative ination (GS)
Last Updated: Oct 4, 2024
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400 Questions and Answers for the Finra Series-7 exam
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Finra General Securities Representative ination (GS) Syllabus
- Prospectus in a Registration Statement at the Time of Effectiveness/ Limitations on Benefits and Contributions Under Qualified Plans
- Authorization Records for Negotiable Instruments Drawn from a Customer’s Accounts/ Standards and required approvals of public communications
- Seminars, lectures and other group forum requirements/ Persons Deemed Not To Be Engaged in a Distribution and Therefore Not Underwriters
- Restrictions on the Purchase and Sale of Initial Equity Public Offerings/ Networking Arrangements Between Members and Financial Institutions
- Transactions withEmployees and Partners of Other Municipal Securities Professionals/ Communications with the Public about Variable Life Insurance and Variable Annuities
- Summary Prospectuses for Open-End Management Investment Companies/ Approval and Documentation of Changes in Account Name or Designation
- Communications with the Public about Collateralized Mortgage Obligations (CMOs)/ Options-related communications; options disclosure document (ODD)