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