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OverviewMastering Series 9/10: General Securities Sales Supervisor Exam Prep Table of Contents Chapter 1: Introduction to Series 9/10 Exam Chapter 2: Regulatory Environment and Industry Standards Chapter 3: Supervision of Registered Representatives Chapter 4: Compliance and Business Conduct Chapter 5: Investment Products and Associated Risks Chapter 6: Trading and Market Operations Chapter 7: Investment Analysis and Valuation Chapter 8: Economic Factors and Industry Analysis Chapter 9: Customer Account Supervision Chapter 10: Practice Exams and Sample Questions Chapter 11: Conclusion and Final Thoughts Chapter 12: Series 9/10 Exam-Day Tips and Strategies Chapter 13: After the Exam - Results and Next Steps Chapter 14: Compliance and Professional Ethics for General Securities Sales Supervisors Chapter 15: Building Strong Client Relationships and Providing Excellent Service Full Product DetailsAuthor: Innoware PjpPublisher: Independently Published Imprint: Independently Published Dimensions: Width: 15.20cm , Height: 0.40cm , Length: 22.90cm Weight: 0.109kg ISBN: 9798854876919Pages: 72 Publication Date: 03 August 2023 Audience: General/trade , General Format: Paperback Publisher's Status: Active Availability: In Print  This item will be ordered in for you from one of our suppliers. Upon receipt, we will promptly dispatch it out to you. For in store availability, please contact us. Table of ContentsReviewsAuthor InformationTab Content 6Author Website:Countries AvailableAll regions |
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