Series 63 Audio

Solomon Series 63, 4th Ed.

This 4.9 hour audio recording of "The Solomon Exam Prep Guide to the Series 63" will give you the content of this invaluable book in an audio format.



Track Title Bookmark Length Download
1 Note from Publisher 0:60
2 Copyright 0:07
3 Introduction 14:44
4 Investment Adviser Definition 15:03
5 Exemptions from Registration 14:04
6 Termination of an Investment Adviser Registration 18:08
7 Chapter 2 Regulation of Broker Dealers and Agents 17:27
8 Net Capital Requirements 18:16
9 Limits on Employment or Association 6:10
10 Chapter 3 Securities, Issuers, and Administrative Provisions 16:07
11 Registration by Filing 12:27
12 Section 402b Exemptions 17:13
13 Practical Application 16:12
14 Chapter 4 Communications with Clients and Prospects 15:55
15 Code of Ethics and Access Persons 20:32
16 Chapter 5 Ethical Practices and Obligations 14:16
17 Custody 14:60
18 Suitability 17:45
19 Margin and Lending Specific Rules 16:05
20 Outside Business Activities 14:21
21 Chapter 6 Federal Securities Acts 15:36

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