Series 65: 8.9. Regulation Of Broker-Dealers

Taken from our Series 65 Online Guide

8.9. Regulation of Broker-Dealers

Most of the regulations discussed so far have pertained to investment advisers and their representatives. That’s because there’s a good chance you’ll be working in one of those capacities if you’re taking the Series 65. But as you’ll come to find out, not everyone who gives advice is an investment adviser or an investment adviser representative. There are oth

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Since you're reading about Series 65: 8.9. Regulation Of Broker-Dealers, you might also be interested in:

Series 66 - Appendix B: Dishonest or Unethical Business Practices of Broker-Dealers and Agents

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Series 63 - 6.2. The Securities Exchange Act of 1934

Series 7 - 9.4.2.2. Support and Resistance

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