Securities Law: Series 63, 65, 66 Exam Essentials with PassMasters

Welcome to PassMasters’ Questions of the Week with Suzy Rhoades, our expert securities exam prep instructor. Did you know that Suzy has been training individuals to pass these exams since the late 90s? She is that experienced! She has taught in live settings since 1997 and online since 2006. She loves helping people understand the concepts to pass these exams!
In this video, Suzy answers student questions regarding Securities Law to help you pass your Series 63, 65, and 66 Exams.
Have a question for Suzy? Just ask in the comments below!
#passmasters #series65 #series66 #series63 #securitieslaw
You can expect test questions related to this topic to appear on the following securities industry exams:
- Series 63 exam - passmasters.com/securities/se...
- Series 65 exam - passmasters.com/securities-ex...
- Series 66 exam - passmasters.com/securities-ex...
If you are studying for any of the above exams and would like to learn more about our online video-based course offerings with Suzy, please click the link below:
passmasters.com/securities-ex...
Check out Hector's feedback about the Series 63 course below and check our site to see what others have to say about their experience preparing for their securities exams:
passmasters.com/testimonials/
"I want to thank you, and congratulate you for the videos, and all the support material also to pass my Series 63 exam. English is not my first language, and I did two attempts before taking PassMasters (with other on line courses and companies). And yours is the best. I will recommend you 100% with my partners. Best regards."
- Hector, Series 63
- Contents of this video -
0:00 - Intro
0:25 - Who is an investment banker?
1:13 - Revenues vs Proceeds Rule 147
2:04 - When must one register as an agent of the issuer?
4:13 - Offer? Sale? Both?!?!?!
5:37 - Options trading w/out signed document
6:39 - Thanks for watching!
7:02 - Outro