Series 7 Exam Prep 64, Customer Protection and SIPC
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - How SEC Rule 15c3-3 requires broker-dealers to segregate fully paid and excess margin securities. - The specific calculation for determining excess margin securities that a firm is prohibited from rehypothecating. - The SIPC coverage limits of $500,000 per…
The skinny
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