37861787
Description
Mind Map by Rachel Sterchi, updated more than 1 year ago
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Created by Rachel Sterchi
almost 2 years ago
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SIE
- Retention
- 3 Years
- U-4 Form
- U-4 Form
- 4 years
- Customer Complaints
- Customer Complaints
- 6 Years
- Customer New
Account Forms
- Stock
Records
- Stock
Records
- Customer New
Account Forms
- 5 Years
- CTRs
- CTRs
- 3 Years
- Bonds
- Bond prices move inversely to
interest rates
- Bond prices move inversely to
interest rates
- FINRA
- FINRA creates the rules
to prevent pay to play
- FINRA creates the rules
to prevent pay to play
- Money Laundering
- Money Laundering phases = Placement >
Layering > Integration
- When a client does a lot of transactions that appear
to have no meaning or benefit it could be taken as
money laundering in the layering phase.
- Money Laundering phases = Placement >
Layering > Integration
- Options
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