Series 66: Chapter Eight

Taken from our Series 66 Online Guide

Chapter Eight

Regulation of Securities and Issuers and the Powers of the Administrator

(4 questions out of 100)

In addition to questions about how the Uniform Securities Act regulates the people and firms involved with helping investors buy and sell securities and decide which securities to buy, the Series 66 also expects you to know a bit about securities issuers and securities themselves. As well as understanding different types of investments and the suitability of different investments for

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