Series 66: Regulation Of Agents Of Broker-Dealers And Agents Of Issuers

Taken from our Series 66 Online Guide

Regulation of Agents of Broker-Dealers and Agents of Issuers

An agent has a nearly identical relationship to a broker-dealer or issuer of securities that an IAR has to the investment advisory firm that employs him. Remember that the broker-dealer or investment adviser is generally a firm; the agent or investment adviser representative is the p

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I could not have passed without your study program Two secrets.... ipad2 and 1400 practice questions. Scored a 78. [Series 66]

Scott Harrison The Standard Woodland Hills, CA

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