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North Capital Training Quiz

A professional and modern office environment depicting a Broker Dealer setting, with people in business attire engaging with technology and financial documents, conveying a sense of professionalism and regulatory compliance.

North Capital Training Quiz

Test your knowledge about North Capital and its services with this engaging quiz! It's designed to help you understand key concepts and regulations within the company and the broader financial sector.

Join us to discover:

North Capital's business operations
Broker Dealer requirements
What it takes to be an accredited investor

9 Questions2 MinutesCreated by ActiveInvestor512

Select which answers are true:

North Capital is completely unregulated and unmonitored.

Business hours are 8:30am-5:30pm

Working hours are up to you.

There is no dress code at North Capital.

Broker Dealers are required to archive all communications - including internally.

Dress Code is business attire.

Which of these is North Capital's White Label investment solution?

What is North Capital Inc.?

Technology company that licenses products referred to as regulation technology

A Registered Broker Dealer

A Catering Company

A Registered Investment Advisor

What does RIA stand for?

What does TransactAPI do for North Capital's clients?

ACH Payment Processing

Accredited Investor Verification

KYC/AML Checks

Send Documents for Electronic Signature

All of these

Which of the following is required in order to be an accredited investor?

A net worth of at least $1 million

Having the appropriate license with FINRA

At least $200,000 in annual income, or $300,000 if combined with a spouse

Knowing a guy

Which of these is a registered Broker Dealer with the SEC & FINRA?

North Capital Private Securities

North Capital Escrow Services

North Capital Investment Technology

North Capital Inc.

Which of the following licenses is required to be a registered principal?

What are some of the Broker Dealer Services that NCPS provides?

Compliance Services

IT Services

Advertising Approval

Investor Approval

TransactAPI

Due Diligence

DirectInvest Button

Escrow Services

RIA Services

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