Series 65: 8.9 Regulation Of Broker-Dealers

Taken from our Series 65 Online Guide

8.9 Regulation of Broker-Dealers

Most of the regulations discussed so far have pertained to investment advisers and their representatives. That’s because there’s a good chance you’ll be working in one of those capacities if you’re taking the Series 65. But as you’ll come to find out, not everyone who gives advice is an investment adviser or an investment adviser representat

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David Hartzell, Cornell Capital Management, New York