The Geek and the Guru Podcast - Series 65 Exam Laws and Regulations (Registrations)

Series 65 Exam Playlist    • Series 65 Investment Advisor Representativ...   Episode 2 Laws and Regulations (Registrations) 1. Registration of Persons    • Whose your Daddy?  SEC?  State?  NEVER BOT...   2. FORM ADV, DISCLOSURE BROCHURE, ADVISOR CONTRACT 3. COMPENSATION 4. ETHICS    • Series 66 Exam 14 questions on Ethical & F...