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SIE	Series 6	Series 65	Series 26	MLO

CHANGE UNIT

Current Unit: UNIT 1: Regulation of Persons & Broker Dealers

Unit 1- Regulation of Persons & Broker-Dealers
Unit 2 - Regulations of Securities and Issuers
Unit 3 - Remedies and Administrative Provisions
Unit 5 -Ethical Practices and Obligations
MEMORY HACKS

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Abbreviations

IA = Investment Advisor

IAR = Investment Advisor Representative

BD = Broker Dealer

UNITED SECURTIIES ACT

Does not prohibit prepaid advisory fees
requires initial and renewal contracts to be in writing and must disclose the method used for computing the adviser's fee
Charting or Graphing system by the IA
- Requires a statement as to the limitations or difficulties using the system
does not require an investment advisory contract to disclose the IA's past performance in the contract

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