The Geek and the Guru Podcast - Series 65 Exam Laws and Regulations (Registrations)

Описание к видео The Geek and the Guru Podcast - Series 65 Exam Laws and Regulations (Registrations)

Series 65 Exam Playlist    • Series 65 Investment Advisor Represen...  
Episode 2 Laws and Regulations (Registrations)
1. Registration of Persons    • Series 66 Exam, Series 65 Exam and Se...  
2. FORM ADV, DISCLOSURE BROCHURE, ADVISOR CONTRACT
3. COMPENSATION
4. ETHICS    • Series 66 Exam 14 questions on Ethica...  

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