Definition & Registrations of Persons. Series 63 Exam, Series 65 Exam & Series 66 Exam скачать в хорошем качестве

Definition & Registrations of Persons. Series 63 Exam, Series 65 Exam & Series 66 Exam

Ninety More Testable Minutes on the Uniform Securities Act    • Mighty Ninety Series 66/65/63 Exam. 90 Tes...   Time stamps: 00:00 Greetings and salutations 3:00 Introduction to NASAA and the USA 4:00 USA is a template 5:00 Person is any legal entity 5:15 Definition of a broker/dealer 7:00 Broker/dealers are NOT individuals 8:00 Capacity of a broker/dealer 9:00 Agent Broker Commission (ABC) 10:00 Registration of a broker/dealer 11:00 Broker/dealers have NO de minimus 14:00 Registration of agents of the broker/dealer 18:00 Futures are NOT defined as securities under the USA 25:00 Registration of the Investment Advisor 26:00 Three pronged test of the definition an Investment Advisor 27:00 Difference between B/D and Investment Advisor 30:00 Investment Advisor is a Fiduciary 33:00 NSMIA established federally covered Investment Advisor 35:00 Notice filing 36:00 No one and nothing are exempt from Antifraud provisions of the USA 37:00 AUM of $110 million or more federally covered 38:00 Registration of federally covered Investment Advisor 41:00 State registered Investment Advisor 42:00 De minimus no more than 5 clients 43:00 Registration of an Investment Advisor Representative 44:00 IAR of a federally covered IA 45:00 Only if office in state 46:00 State IAR mirrors state IA