45 Securities Law Questions You MUST KNOW to PASS Series 65, 66 and 63

Welcome to PassMasters’ Questions of the Week with Suzy Rhoades, our expert securities exam prep instructor. If you are studying for the any of the NASAA Exams, Series 65, 66 or 63 then this video is for you! Law is hard, there is no getting around it. It's like mental gymnastics! In this video, Suzy will cover 45 questions the come from the law topics covered in the NASAA's content outlines for these three exams. Securities Law is found on the outline for Series 65 and 66 as Section 4. The Series 63 exam, Uniform Agent Exam, is ALL LAW! There is a lot covered within law! Suzy will present questions that come directly from our NASAA prep licensing course. To learn more about Suzy's Series 65 course - https://passmasters.com/securities/se... To learn more about Suzy's Series 63 course - https://passmasters.com/securities/se... To learn more about Suzy's Series 66 course - https://passmasters.com/securities/se... To check out all of Suzy's securities course offering - https://passmasters.com/securities-ex... We will be posting questions of the week type videos frequently so please make sure to subscribe to our page and activate notifications. Let's see what Jose had to say about Suzy's Series 65 course: “I just wanted to say thank you so much for all your help!!! This was the best program. I have used Kaplan twice and failed both times! But using this program was so helpful, I felt like I was actually learning the concepts rather than memorizing. I passed my Series 65 this morning!! Thank you thank you thank you to the entire team!” To view more testimonials: https://passmasters.com/testimonials/ Do you have questions about anything covered in this video? Or about any of the securities exams in general? Post a comment and we will respond asap. Thanks for viewing and happy studies! #series65exam #series63exam #series66exam #series65 #series66 #series63 #suzyrhoades #passmasters Contents of this video 0:00 - Welcome 0:49 - Practice Question 1 – IA disclosure obligations 1:54 - Practice Question 2 – Administrative assistant duties 2:31 - Practice Question 3 – Marketing rule 3:21 - Practice Question 4 – Person who gives investment advice for a fee 3:45 - Practice Question 5 – SEC non-approval clause 4:12 - Practice Question 6 – Identity theft program 4:47 - Practice Question 7 – Broker-dealer with no place of business in this state 5:31 - Practice Question 8 – Privacy requirements 5:49 - Practice Question 9 – IA that registers federally 6:46 - Practice Question 10 – Marketing rule 7:28 - Practice Question 11 – IA net capital requirement at the state level 8:08 - Practice Question 12 – USA anti-fraud provisions 8:42 - Practice Question 13 – Marketing rule 9:24 - Practice Question 14 – Advertises as an IA 10:00 - Practice Question 15 – When can the Administrator can an agent's registration 10:34 - Practice Question 16 – Brochure delivery requirement 11:30 - Practice Question 17 – IARs register where 11:58 - Practice Question 18 – IA of a mutual fund registers where 12:15 - Practice Question 19 – When can an IA discuss client identities and affairs 12:41 - Practice Question 20 – Statutory disqualification 13:31 - Practice Question 21 – Reg flags for online investors 14:00 - Practice Question 22 – Qualified custodian requirements 15:37 - Practice Question 23 – Consent to service of process 16:09 - Practice Question 24 – Margin agreement 16:34 - Practice Question 25 – Offers and/or sales 17:08 - Practice Question 26 – Waivers 17:38 - Practice Question 27 – When can an IA charge a commission and a fee 18:06 - Practice Question 28 – A recommendation 18:48 - Practice Question 29 – IA with oral discretion 19:33 - Practice Question 30 – Options trading form 20:05 - Practice Question 31 – SEC Rule 147 20:33 - Practice Question 32 – Regulation S-P 21:37 - Practice Question 33 – IAR 22:30 - Practice Question 34 – Registration requirement 23:04 - Practice Question 35 – Broker-dealer on the premises of a bank 24:19 - Practice Question 36 – An offer in a state 24:57 - Practice Question 37 – Fiduciary standard 25:17 - Practice Question 38 – Advisory fees 25:48 - Practice Question 39 – Banks 26:23 - Practice Question 40 – Money laundering rules 26:51 - Practice Question 41 – Net capital requirements for broker-dealers 27:46 - Practice Question 42 – Not an IAR 28:29 - Practice Question 43 – Directed brokerage 29:31 - Practice Question 44 – Pay to play IA 32:20 - Practice Question 45 – When can an IAR borrow from a client 33:48 - Recap