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Broker-Dealer Agent Regulations: Series 63 Study Guide
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Broker-Dealer Agent Regulations: Series 63 Study Guide
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0:00 / 10:04
Chapters
Summary
Transcript
Chapters
1
Agent Definitions
0:00
2
Exclusions from Registration
1:49
3
The Registration Process
2:44
4
Termination & Re-entry
3:50
5
Rules for Unregistered Staff
4:35
6
Form U4 & Client Mobility
5:23
7
Administrative Forms & Automatic Reg
6:39
8
Cross-Border Regulations
7:26
9
Account Ownership & Minors
7:50
10
Margin & Options Accounts
8:45
11
Key Exam Takeaways
9:35
