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Broker dealer exclusions + problem walkthrough (Series 63, 65, 66)
Manage episode 354094717 series 2835685
Content provided by Achievable. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Achievable or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.
Last in our broker dealer mini-series is another important testable aspect of broker dealers on the Series 63, 65, and 66 exams: what are the exclusions and exceptions to the rules we just learned that change a BD's eligibility or status. Brandon Rith, Achievable FINRA author, goes through these exceptions and then walks you through a BD exclusion problem in Achievable's Series 65 course. Follow along with the podcast by opening the problem here, no signup required.
Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me
53 episodes
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Manage episode 354094717 series 2835685
Content provided by Achievable. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Achievable or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.
Last in our broker dealer mini-series is another important testable aspect of broker dealers on the Series 63, 65, and 66 exams: what are the exclusions and exceptions to the rules we just learned that change a BD's eligibility or status. Brandon Rith, Achievable FINRA author, goes through these exceptions and then walks you through a BD exclusion problem in Achievable's Series 65 course. Follow along with the podcast by opening the problem here, no signup required.
Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me
53 episodes
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Similar to FINRA Exam Tips and Career Advice - Achievable Podcast
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