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Broker-Dealer Regulations (Series 63 Exam Prep)
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Broker-Dealer Regulations (Series 63 Exam Prep)
7:52 · AI Generated · 6/15/2026
Chapters
Summary
Transcript
Chapters
Summary
Transcript
Chapters
1
Introduction
0:00
2
Broker-Dealer Definition
0:25
3
Agency Capacity (Broker)
0:46
4
Principal Capacity (Dealer)
1:06
5
Broker vs. Dealer Roles
1:29
6
Registration & Form BD
1:54
7
Consent to Service of Process
2:21
8
Registration Timeline
2:51
9
Exclusions from Registration
3:19
10
The Snowbird Rule
3:48
11
Net Capital Requirements
4:18
12
Surety Bonds
4:44
13
Recordkeeping Periods
5:12
14
Advertising & Correspondence
5:42
15
Supervision & Audits
6:15
16
Order Tickets & Confirmations
6:46
17
Key Exam Takeaways
7:15
18
Conclusion
7:40
