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Quality Management in the 21st Century
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Audio Lessons for the FINRA Series 65 Exam
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Audio Lessons for the FINRA Series 66 Exam
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Rick Norris CPA, Business Management and Consulting specializes in helping individuals and businesses organize, plan and effectively manage their finances and business operations to meet goals and increase personal wealth. We offer a unique combination of services, including financial management, accounting, tax planning and preparation, business strategy and management consulting, and highly specialized services developed to meet the needs of a rapidly evolving business world including Sarb ...
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In Virtual Vice by Jason M. Kays, readers follow disillusioned entertainment attorney Ian McKenzie as his professional life takes a decided turn for the questionable when he is hired by the charismatic and dangerous Scott White to represent Scott’s interests in his cutting edge Internet startup, Metropoleis Multimedia. Unfortunately for Ian, Scott has more in common with Scarface’s Tony Montana than Apple’s Steve Jobs, and things go from questionable to deadly in no time flat. As Scott’s con ...
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Bringing director education beyond the boardroom, this series of educational briefings from McDermott Will & Emery healthcare governance lawyer Michael Peregrine offers proactive, solution-based updates accessible on your schedule. Michael and his guests engage in substantive conversations on the latest legal, regulatory and governance developments relevant to health care boards of directors. With engaging discussions and the latest news, Governing Health enhances board education for health ...
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WELCOME TO THE EMPLOYEE SURVIVAL GUIDE® PODCAST The Employee Survival Guide® is an employees only podcast about everything related to work and working. We will share with you all the information your employer does not want you to know about and guide you through various work and employment law issues. Your Host Mark Carey The Employee Survival Guide® podcast is hosted by seasoned Employment Law Attorney Mark Carey, who has only practiced in the area of Employment Law for the past 26 years. M ...
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Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2
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Series 65 Exam Quiz Mutual Funds 2 This is a Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2: a free quiz for Series 65 Exam Quiz Mutual Funds 2 which is covering mutual funds pt 2 . Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2 Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2 c…
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Negative Impacts of AI on Employees and Working
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52:12
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Could the very tools designed to enhance our productivity in the workplace be silently shaping a future of bias and invasion of privacy? Join me, Mark, as we delve into the profound impact AI is having on employment, from the boardroom to the break room. Along with insights from industry consultants, we unpack the transformative effects on hiring p…
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Series 66 Exam Free Audio Lesson 10 Series 66 Exam Free Audio Lesson 10 is a lesson for the Series 66 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The Series 66 Exam consists of 100 questions. When taking the Series 66 to join an RIA firm as a IAR, candidates must complete the exam within 150 minutes.…
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Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3
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Series 65 Exam Quiz Mutual Funds 3 This is a Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3: a free quiz for Series 65 Exam Quiz Mutual Funds 3 which is covering mutual funds pt 3 . Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 25 Quiz Mutual Funds pt. 2 Series 65 Exam Lesson 26 Quiz Mutual Funds pt. 3 c…
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Series 65 Exam Lesson 29 Annuities Quiz This is a Series 65 Exam Lesson 29 Annuities Quiz: a free quiz for Series 65 Exam Lesson 29 Annuities Quiz which is covering the unit investment trust . Try it and see how you do if you need help listen the lesson over. Series Series 65 Exam Lesson 29 Annuities Quiz Series 65 Exam Lesson 29 Annuities Quiz is …
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Series 66 Exam Free Audio Lesson 9 Series 66 Exam Free Audio Lesson 9 is a lesson for the Series 66 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The Series 66 Exam consists of 100 questions. When taking the Series 66 to join an RIA firm as a IAR, candidates must complete the exam within 150 minutes. A…
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Series 65 Exam Lesson 28 Unit Investment Trust Quiz
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Series 65 Exam Lesson 28 Unit Investment Trust This is a Series 65 Exam Lesson 28 Unit Investment Trust: a free quiz for Series 65 Exam Lesson 28 Unit Investment Trust which is covering the unit investment trust . Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 28 Unit Investment Trust Quiz Series 65 Exam Le…
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Series 66 Exam Free Audio Lesson 8 Series 66 Exam Free Audio Lesson 8 is a lesson for the Series 66 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The Series 66 Exam consists of 100 questions. When taking the Series 66 to join an RIA firm as a IAR, candidates must complete the exam within 150 minutes. A…
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Series 65 Exam Lesson Supplement Interview with Whistleblower Atty. Mark Pugsley 2024
1:22:14
1:22:14
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S Series 65 Podcast Interview with Whistleblower Attorney Mark Pugsley 2024 This is an interview with Whistleblower Attorney Mark Pugsley while this is not information that is required for the Series 7 Exam I think you will be a more knowledgeable advisor if you are aware of the information contained in this interview. Mark Pugsley is quite famous …
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Series 65 Exam Lesson 55 Securities Act of 1933 Quiz 2024
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Series 65 Exam Lesson 55 Securities Act of 1933 Quiz This is a Series 65 Exam Lesson 55 Securities Act of 1933 Quiz: a free quiz for Series 65 Exam Lesson 56 Securities Act of 1933 Quiz. Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 55 Securities Act of 1933 Quiz 2024 Series 65 Exam Lesson 55 Securities Ac…
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Series 66 Exam Free Audio Lesson 6 Series 66 Exam Free Audio Lesson 6 is a lesson for the Series 66 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The Series 66 Exam consists of 100 questions. When taking the Series 66 to join an RIA firm as a IAR, candidates must complete the exam within 150 minutes. A…
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Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz 2024
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12:19
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Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz This is a Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz: a free quiz for Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz. Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 56 Securities Exchange Act of 1934 Quiz Series …
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Carol Tomka's Battle: Confronting Sexual Assault and Harassment in the Workplace
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Can you imagine facing a nightmare in the very place meant for professional growth? Carol Tomka's story, set nearly three decades ago, echoes the chilling experiences that, unfortunately, still resonate in today's workplaces. This episode brings to light the harrowing journey of Carol, who suffered sexual assault and harassment within the confines …
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Series 66 Exam Free Audio Lesson 7 Series 66 Exam Free Audio Lesson 7 is a lesson for the Series 66 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The Series 66 Exam consists of 100 questions. When taking the Series 66 to join an RIA firm as a IAR, candidates must complete the exam within 150 minutes. A…
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Corporate DEI Causes Racism and Reverse Discrimination
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16:25
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Could your company's efforts to foster diversity be paradoxically fueling discrimination? Unpack the complexity of corporate DEI programs with us, as we scrutinize their waning popularity and the alarming suggestion that these well-intentioned initiatives might actually be nurturing a new kind of racism and reverse discrimination. In an era where a…
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Series 65 Exam Free Audio Lesson 9 2024 Series 65 Exam Free Audio Lesson 9 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becomin…
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Series 66 Exam Free Audio Lesson 5 Series 66 Exam Free Audio Lesson 5 is a lesson for the Series 66 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The Series 66 Exam consists of 100 questions. When taking the Series 66 to join an RIA firm as a IAR, candidates must complete the exam within 150 minutes. A…
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Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz 2024
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Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz This is a Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz: a free quiz for Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz. Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz 2024 Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz 2024 …
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An Extreme Hostile Work Environment Case: The Billie Banks vs. General Motors Story
57:42
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Embark on a legal journey that cuts to the core of workplace ethics as we dissect the Billie Banks vs. General Motors case, a paramount lawsuit that challenges our understanding of race-based discrimination and hostile work environments. This episode lays bare the incidents of racial taunts and sexual harassment that Banks endured, exploring the em…
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Series 66 Exam Lesson 58 Sarbanes-Oxley Act Quiz 2024
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Series 66 Exam Lesson 58 Sarbanes-Oxley Act Quiz This is a Series 66 Exam Lesson 58 Sarbanes-Oxley Act Quiz: a free quiz for Series 66 Exam Lesson 58 Sarbanes-Oxley Act . Try it and see how you do if you need help listen the lesson over. Series 66 Exam Lesson 58 Sarbanes-Oxley Act Quiz Series 66 Exam Lesson 58 Sarbanes-Oxley Act Quiz is covering th…
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Series 65 Exam Free Audio Lesson 7 2024 Series 65 Exam Free Audio Lesson 7 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becomin…
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Performance Reviews Are Now Controlled By AI and Provide Constant Feedback
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Could an algorithm determine your career future? We're peering into the transformative world of AI-driven employee performance reviews, dissecting the complexities and the concerns they introduce into the workplace. This episode takes a hard look at the implications of replacing traditional performance evaluations with AI's continuous feedback loop…
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Navigating ERISA STD and LTD Disability Claims Process: Insider Strategies for Securing Your Benefits
1:11:41
1:11:41
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Have you ever been thrust into the bewildering maze of disability claims? Fear not, because Mark is here to guide you through this critical journey. On today’s episode is a comprehensive roadmap of the ERISA disability claims process, where Mark unravels the intricacies of both short-term and long-term disability benefits. Each step, from the initi…
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Series 66 Exam Free Audio Lesson 4 Series 66 Exam Free Audio Lesson 4 is a lesson for the Series 66 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The Series 66 Exam consists of 100 questions. When taking the Series 66 to join an RIA firm as a IAR, candidates must complete the exam within 150 minutes. A…
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Series 65 Exam Free Audio Lesson 6 2024 Series 65 Exam Free Audio Lesson 6 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becomin…
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Now it is Easier for Employees to Blow the Whistle Under Sarbanes Oxley Act
16:55
16:55
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Discover the seismic shift in whistleblower protections as we trace the footsteps of Trevor Murray, the former UBS employee whose courage has carved a new path in the legal jungle. This episode is a treasure trove of insights for anyone standing at the crossroads of ethical decisions in the workplace, offering a guiding light through the murky wate…
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Series 66 Exam Free Audio Lesson 3 Series 66 Exam Free Audio Lesson 3 is a lesson for the Series 66 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The Series 66 Exam consists of 100 questions. When taking the Series 66 to join an RIA firm as a IAR, candidates must complete the exam within 150 minutes. A…
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Series 65 Exam Free Audio Lesson 5 2024 Series 65 Exam Free Audio Lesson 5 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becomin…
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Series 65 Exam Free Audio Lesson 4 2024 Series 65 Exam Free Audio Lesson 4 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becomin…
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Series 65 Podcast Logan Keller Interview From Apache Helicopter Pilot to Financial Advisor: The Journey of Logan Keller In the world of finance, career trajectories often follow conventional paths through business schools and internships. However, every so often, there emerges an individual whose journey into the financial realm takes a unique and …
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Series 65 Exam Free Audio Lesson 3 2024 Series 65 Exam Free Audio Lesson 3 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becomin…
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Series 65 Exam Free Audio Lesson 1 2024 Series 65 Exam Free Audio Lesson 1 2024 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becomin…
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Ready to discover the untapped benefits of creating menopause-friendly workplaces? Buckle up as we take you through the enlightening findings of Bank of America's study on menopause in the workplace. We uncover the critical need for employers to address the challenges faced by women going through this life-changing phase. By ignoring this key issue…
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Performance Reviews Don't Work- Employers Are to Blame
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In this episode I discuss why performance reviews do not work and why employers are to blame. Changing the name doesn't change the game! We confront the rising trend of replacing 'performance reviews' with softer terms like 'feedback' and 'feed forward.' Drawing on my own experiences as an employment attorney, we discuss the distinct lack of effect…
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What if there were laws to protect the rights of pregnant and nursing mothers at work? Well, get ready to expand your knowledge on the Providing Urgent Maternal Protections for Nursing Mothers Act (PUMP Act) and the Pregnant Workers Fairness Act (PWFA) that set the pace for better treatment of working mothers. Join us on this enlightening journey a…
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When the Earth Shifted: The Banning of Non-Competition Agreements
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The Earth shifted beneath our feet on May 30, 2023, when the National Labor Relations Board (NLRB) General Counsel declared non-competition agreements illegal. This is a game-changer, folks! Our discussion centers around the key reasons why this legal opinion packs the punch of law, the crucial role of administrative deference, and the jurisdiction…
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The Most Shocking Sexual Harassment Case Ever: Interview With Reporter Susan Antilla
39:23
39:23
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In this episode of the Employee Survival Guide, Mark addresses one of the worst possible sexual harassment and sexual assault stories that has ever occurred in the workplace. Mark interviews veteran news reporter and author Susan Antilla, NYTimes and Insider, who broke the story. It is just shocking what happened to Renee Zinsky and other women who…
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In this episode of the Employee Survival Guide, Mark addresses the games employers play with employees. Mark recently had two consultations with perspective clients and wanted to share the insights he shared with both individuals to help each person understand the games their employers were playing with them and what they could do about it to persu…
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Working and Protecting Your Job During Menopause
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14:23
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In this episode of the Employee Survival Guide, Mark addresses the taboo issue of the effects of menopause and working. Over half of all employees are women and half of them are at an age where they are experiencing perimenopause and menopause. Mark raises the issue that employers need to do more to accommodate women going through this transition. …
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Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz
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Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz This is a Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz: a free quiz for Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz. Try it and see how you do if you need help listen the lesson over. Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz Series 65 Exam Lesson 58 Sarbanes-Oxley Act Quiz is coverin…
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It's the perfect time of year to take stock of the leading developments of the prior 12 months and consider what lessons they have to offer us. This valuable exercise for corporate directors can put them in a better position from which to address the looming agenda items their boards face in 2023. For directors of healthcare companies, governance t…
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In this episode of the Employee Survival Guide, Mark addresses the issue of oversharing at work. He explores the pros and cons of oversharing. Obviously, oversharing can be damaging to other employees, i.e. mental nervous conditions and coworker abuse, a sexual harassment comment or ageist comment. But oversharing can also be used as a tool to set …
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In this episode of the Employee Survival Guide, Mark attacks the DEI initiative and argues that employers just do not want any DEI initiatives to succeed because it is bad for business. Mark wastes no time blaming employers for the DEI fiasco now experienced by employees nationwide. Links to sources in the podcast episode: https://www.patreon.com/p…
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Employees Now Have New Freedom of Speech Rights At Work
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In this episode of the Employee Survival Guide, Mark discussses the recent federal government action to provide millions of working Americans new Freedom of Speech rights at work by banning pre and post dispute confidentiality agreements and nondisparagement agreements in severance agreements employees receive when they are terminated. The new rule…
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Series 65 Exam Free Audio Lesson 9 Series 65 Exam Free Audio Lesson 9 is a lesson for the Series 65 Exam which can lead to the candidate being licensed as an Investment Advisor Representative. The other possible exam would be the series 66 examination. What is the Series 65 Exam? The Series 65 Exam The Series 65 is another path to becoming an Inves…
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In this episode of the Employee Survival Guide, Mark prepares your layoff first aid kit and instructs you about what should go into it. He will discuss (10) ten steps you need to run through when you receive your layoff notice and severance agreement. Mark offers quick advice from years of handling severance negotiations for thousands of clients. T…
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What Is a Hostile Work Environment Anyway?
27:38
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In this episode of the Employee Survival Guide, Mark confronts and explains one of the most overused and most misunderstood employment law phrases out there. What is a hostile work environment anyway? Mark wants to end the confusion once and for all. After you listen to this episode you will know what is and what is not a hostile work environment. …
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Speak Out Act- A Federal Ban on Predispute Confidentiality Agreements Regarding Sexual Harassment and Sexual Assault Victims
14:08
14:08
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In this episode of the Employee Survival Guide, Mark explores the recently enacted federal ban on predispute nondisclosure agreements regarding sexual harassment and sexual assault in the workplace. The Speak Out Act bans or voids any and all predispute agreements from prohibiting anyone for complaining about sexual assault and sexual harassment. T…
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Fired or Laidoff What Company Information Can You Take With You and How to Do It?
18:36
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In this episode of the Employee Survival Guide Mark discusses what things you can take and not take with you after being laid off or terminated for cause. There is a common misperception among employees about what exactly an employer owns. Mark explains that work for hire means anything you do for the employer belongs to the employer. Many employer…
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