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/series-65/

To learn more about Suzy's Series 63 course -
https://passmasters.com/securities/series-63/

To learn more about Suzy's Series 66 course -
https://passmasters.com/securities/series-66/

To check out all of Suzy's securities course offering -
https://passmasters.com/securities-exam-prep/

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