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SIE Series 63 Series 65 Series 26 MLO

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CHANGE UNIT

Current Unit: UNIT 4 -Customers' Purchase and Sales Instructions and Processing Transactions

UNIT 1- Seeking Business for the Broker-Dealer From Customers and Potential Customers
UNIT 2- Evaluating Customer Accounts; Financial Profiles and Investment Objectives; Retirement Plans
UNIT 3- Customer Information; Risk and Suitability; Product Information

Table of Contents

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Securities Exchange Act of 1934

Settlement

Markups from Broker-dealers

Code of Procedure(TOP OF PAGE)