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RIA exemptions and exclusions (Series 63, 65, 66)
Manage episode 349194989 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.
RIAs (registered investment advisers) have a lot of rules, but there's also a lot of exceptions to those rules. These rules and exceptions are heavily tested in the NASAA Series 63, 65, and 66 exams. In this episode, Ken Finnen, a longtime veteran of the finance industry and FINRA tutor for decades, walks you through everything you need to know for these exams: what constitutes an RIA, what the rules are that investment advisers need to follow, and what are the key exemptions and exclusions to those rules that you'll need to know on these exams.
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
51 episodes
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Manage episode 349194989 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.
RIAs (registered investment advisers) have a lot of rules, but there's also a lot of exceptions to those rules. These rules and exceptions are heavily tested in the NASAA Series 63, 65, and 66 exams. In this episode, Ken Finnen, a longtime veteran of the finance industry and FINRA tutor for decades, walks you through everything you need to know for these exams: what constitutes an RIA, what the rules are that investment advisers need to follow, and what are the key exemptions and exclusions to those rules that you'll need to know on these exams.
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
51 episodes
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Similar to FINRA Exam Tips and Career Advice - Achievable Podcast
Culips English Podcast: Practical English Learning Made Fun Learn and Explore: Join Culips for an exciting English learning journey. Our podcast focuses on teaching English idioms, slang, and phrasal verbs through fun and engaging conversations. Each episode helps you master English for real-life situations. Unique Learning Experience: Culips stands out by blending language skills with cultural insights. Our diverse hosts make learning relatable, covering a variety of everyday topics. You’ll ...
…
continue reading
Learn English now with a proven method that's fast, effective, and enjoyable. Speak English with ESLPod.com will improve your English listening and speaking faster than any other approach. These daily and cultural English lessons are brought to you by Dr. Lucy Tse and Dr. Jeff McQuillan, former professors of applied linguistics and education. Join more than 15 million people in 189 countries who have learned English with ESLPod.com. Want to improve your English even faster? Become an Unlimit ...
…
continue reading
The London School of Economics and Political Science public events podcast series is a platform for thought, ideas and lively debate where you can hear from some of the world's leading thinkers. Listen to more than 200 new episodes every year.
…
continue reading
Everyone has a dream. But sometimes there’s a gap between where we are and where we want to be. True, there are some people who can bridge that gap easily, on their own, but all of us need a little help at some point. A little boost. An accountability partner. A Snooze Squad. In each episode, the Snooze Squad will strategize an action plan for people to face their fears. Guests will transform their own perception of their potential and walk away a few inches closer to who they want to become ...
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continue reading
Achieve Your Goals with Hal Elrod is a weekly podcast dedicated to empowering and equipping you with practical advice and strategies to achieve your goals and dreams. If you are looking for help with achieving your goals in any (or EVERY) area of your life, Hal will give you the inspiration, motivation, and action plan to take yourself and your life to the next level. Subscribe to the podcast and get a new episode every Wednesday.
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continue reading
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With Coffee Break Italian you can learn Italian where and when it suits you. In Season 1, you'll join teacher Mark, learner Katie and native speaker Francesca in our 15-minute lessons, and build your confidence in the language, learning Italian from scratch. Take your learning further with Season 2 in which Mark and Francesca are joined by learner Isla. Hosted on Acast. See acast.com/privacy for more information.
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continue reading
Five-time winner of Best Education Podcast in the Podcast Awards. Grammar Girl provides short, friendly tips to improve your writing and feed your love of the English language. Whether English is your first language or your second language, these grammar, punctuation, style, and business tips will make you a better and more successful writer. Grammar Girl is a Quick and Dirty Tips podcast.
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continue reading
Learn French in coffee-break lessons from the Radio Lingua Network. In each lesson we'll focus on the language you need to know and before long you'll be making yourself understood with native French speakers. Season 1 lessons are for absolute beginners, and the courses increase in difficulty as the seasons progress. 386357 Hosted on Acast. See acast.com/privacy for more information.
…
continue reading
Making It is a weekly audio podcast that comes out every Friday hosted by Jimmy Diresta, Bob Clagett and David Picciuto. Three different makers with different backgrounds talking about creativity, design and making things with your bare hands.
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continue reading
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Go offline with the Player FM app!
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