Скачать с ютуб Series 63 Exam Today? Tomorrow? Pass? Fail? This 60 Minutes May Be the Difference. в хорошем качестве

Series 63 Exam Today? Tomorrow? Pass? Fail? This 60 Minutes May Be the Difference.

MUST WATCH    • Series 66 Exam, Series 65 Exam & Seri...   Time stamps: 00:00 Intro 1:36 Registrations of persons 2:00 Un natural persons and natural persons 2:20 B/D and IA are un natural persons 2:37 Agents and IARs are natural persons 3:08 Minors, deceased, and mentally incompetent are NOT persons 3:50 Issuers 4:08 Offers that originate, are directed or accepted in the state are subject to the administrator's jurisdiction of that state 6:05 Canadian issuers 6:40 Registration of the B/D 7:48 Snowbirds 8:18 Registration of the agent of the B/D 8:40 Solely clerical or administrative do not have to register 9:25 Splitting commissions 9:40 ABC test 10:00 Release 1092 10:37 L.A.T.E. 12:05 NSMIA 12:17 Federally covered Investment Advisors 12:28 SEC or state. NEVER BOTH 12:55 AUM of $100 million can choose to be federally covered 14:00 De minimis of 5 or less is only state covered IA and state covered IAR 15:32 Registration renewal date is December 31 16:00 Successor firm 16:20 Consent to service 16:50 Statutory disqualification 17:34 State cannot impose net capital or net worth higher than the SEC 18:31 Surety bond 19:22 Record retention 19:45 SIPC 20:00 Definition of a security 20:14 WHAT IS NOT A SECURITY! 20:44 Issuer transactions 21:01 Non issuer transactions 21:44 Federally covered securities 22:20 Methods of registration for a security 22:23 Coordination 23:18 Qualification 24:44 Can't alter terms 24:55 Quarterly updates 25:08 Securities offered in the administrator's state 35:35 Exempt securities 27:00 Exempt transactions 28:55 Officers of the court 31:00 Unsolicited orders 33:03 Remedies 34:24 Assessable versus non assessable 37:22 Poer of the administrator 38:14 Deny, suspend or revoke a registration 40:21 Right of rescission 42:00 Margin and option risk disclosure 43:00 Discretionary authority 43:25 Three As 43:50 Electronic communication 44:30 WSPs about social media and cyber security 45:30 Material facts 46:52 Unsuitable recommendations 47:45 Borrowing for a customer 48:55 B/D operating at a bank location 48:33 Front running 49:55 Customer complaint 50:20 Hedge clause 50:46 Sharing in customer accounts51:35 Disclosure of loads in mutual funds. Misuse of no load terminology 51:50 .25 basis points can still refer as a no load fund 52:04 Breakpoints are GOOD. Breakpoint sales are BAD 52:45 Arbitrage is legal 54:00 Complimentary means complimentary 54:20 Client confidentiality 55:00 Checks returned in 3 business days 57:22 Agents of the B/D are the first line of defense for both cyber security and money laundering