[Series 6] 28, SEC and FINRA Regulations
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The "100-100" rule for when an investment company must register with the SEC under the Act of 1940. - How a fund's board of directors must be structured and how 12b-1 fees change that requirement. - The core principles of the FINRA suitability rule through concrete…
The skinny
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