The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to this before you will be permitted to start your session.
Testimony Before the Committee on Financial Services
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
I understand and
Observations on Liquidity and Credit Risk Management
Segregation of Client Assets
Net Capital Calculations
Net Capital
Liquidity Management
Credit Risk Management
Segregation of Assets and Customer Protection
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Vendor Display Rule
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Financial Management
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Net Capital
NEW FOR 2023
Cybersecurity and Technology Governance
Anti-Money Laundering, Fraud and Sanctions
Manipulative Trading NEW FOR 2023
Previous:
How to Use the Report
Up:
Financial Crimes
Next:
Cybersecurity and Technology Governance
Net Capital
Liquidity Risk Management
Credit Risk Management
Portfolio Margin and Intraday Trading
Segregation of Assets and Customer Protection
Previous:
Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades
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Financial Management
Next:
Net Capital
Financial planners can come from a variety of backgrounds and offer a variety of services. They might be brokers or investment advisers, insurance agents or practicing accountants—or they might have no financial credentials at all.
Net Capital
Liquidity Risk Management
Credit Risk Management
Segregation of Assets and Customer Protection
Portfolio Margin and Intraday Trading NEW FOR 2022
Previous:
Market Access Rule
Up:
Financial Management
Next:
Net Capital
Cybersecurity and Technology ManagementAnti-Money Laundering, Fraud and SanctionsManipulative TradingPrevious:How to Use the ReportUp:Financial CrimesNext:Cybersecurity and Technology Management
