[Series 65] 75, Anti-Money Laundering and Senior Protection
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: - The difference between a Currency Transaction Report (CTR) for cash transactions over $10,000 and a Suspicious Activity Report (SAR) for suspicious activity of $5,000 or more. - The absolute prohibition against "tipping off" a client that a SAR has been filed…
The skinny
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