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Details Title: Series 63 Description: Business Practices Total Flash Cards: 9 Created: 12/05/2004 05:24:25	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 1 Definition What two categories of fraudulent violations are listed in the Uniform Securities Act? Term 2 Definition What are some examples of misleading statements that are prohibitied by the Uniform Securities Act? Term 3 Definition What facts must an agent give to a client about a potential investment? Term 4 Definition With regard to inside information, what is a violation of the Uniform Securities Act for an agent to do? Term 5 Definition What information should be obtained from the client to determine an investment's suitability for that particular customer? Term 6 Definition What types of actions would violate the Suitability Rule? Term 7 Definition What are some prohibitive activities in regard to the money in a client's account? Term 8 Definition What are some examples of other prohibited practices or activities? Term 9 Definition What must an investment adviser do if they desire to act as a principal for their own account, or as a broker for both the client and another person when effecting a securities transaction?