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Details Title: Series 26 Description: Sales Practices Total Flash Cards: 40 Created: 04/19/2005 17:44:18	To study from this set of flash cards, or to create your own your own study flash cards, register HERE. If you are already a registered user, CLICK HERE.
Cards Term Security Act '33 Section 10 Definition Information Required in Prospectuses Term SEC Rule 425 Definition no approval clause Term 12B-1 fee Definition ??? Term Security Act '33 Section 12 Definition Civil Liabilities in Connection with Prospectuses and Communications Term Rule 134 Definition Communication not Deemed a Prospectus (tombstone ads) Term Rule 135A Definition Generic Advertising Term Rule 156 Definition Investment Company Sales Literature Term Rule 156 Definition Prohibition of Misleading Sales Literature Term Rule 482 Definition Advertising by an Investment Company as Satisfying Requirements of Security Act '33 Section 10 Term Investment Company Act of '40 Rule 34b-1 Definition Sales Literature Deemed to be Misleading Term NASD Conduct Rule 2110 Definition Standards of Commercial Honor and Principles of Trade Term NASD Conduct Rule 2120 Definition Use of Manipulative, Deceptive, or Other Fraudulent Devices Term NASD Conduct Rule 2200 Definition Communications with Customers and the Public Term IM-2210-2 Definition Communications with the Public about Variable Life Insurance and Variable Annuities Term IM-2210-3 Definition Use of Rankings in Invesstment Companies Advertisements and Sales Literature Term IM-2210-4 Definition Limitations on Use of Association's Name Term IM-2210-5 Definition Requirements for the Use of Bond Mutual Fund Volatility Ratings Term NASD Conduct Rule 2211 Definition Telemarketing Requirements Term Securities Act '33 Section 5 Definition Prohibitions Relating to Interstate Commerce and the Mail Term Rule 153a Definition Prospectus Delivery Requirements Term Securities Exchange Act '34 Section 10 Definition Regulation of the Use of Manipulative and Deceptive Devices Term Securities Exchange Act '34 Section 10b-5 Definition Employment of Manipulative and Deceptive Devices Term Securities Exchange Act '34 Section 15 Definition Registration and Regulation of Brokers and Dealers Term Securities Exchange Act '34 Section 15(C)(1) Definition Manipulative, Deceptive, or Fraudulent Devices or Contrivances Term Securities Exchange Act '34 Section Rule 15c1-1 Definition Definitions Term Rule 15c1-2 Definition Fraud and Misrepresentation Term Rule 15c1-3 Definition Misrepresentation by broker and dealers as to registration Term Rule 15c1-7 Definition Discretionary accounts Term Section 15(c)(2) Definition Fraudulent acts or practices and fictitious quotations Term Rule 15c2-8 Definition Delivery of prospectus Term Investment Company Act '40 Section 35 Definition Unlawful Representations and Names Term NASD Conduct Rule 2420 Definition Dealings with Non-Members Term NASD Conduct Rule 2820 Definition Variable Contracts of an Insurance Company Term NASD Conduct Rule 2830 Definition Investment Company Securities Term NASD Conduct Rule 2310 Definition Recommendations to Customers (Suitability) Term IM-2310-2 Definition Fair dealing with Customers Term IM-2310-5 Definition Suitability Obligations oto Institutions Customer Term NASD Conduct Rule 2330 Definition Customers' Securities or Funds Term NASD Conduct Rule 2510 Definition Discretionary Accounts Term IM-2830-1 Definition Avoiding Breakpoint Sales