[Series 65] 70, Exempt Securities and Exempt Transactions
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: - To distinguish between exempt securities (based on what they are) and exempt transactions (based on how they are sold). - That securities issued directly by a bank are exempt, while those issued by a bank holding company are not. - Why variable annuities are…
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