Series 7 Exam Prep Rules of the Road for Broker/Dealers and Associated Persons. SIE, 6, 65/66 too!

Check out Primary Market '33 Act next • Series 7 Exam Prep Ini...
00:01 Anti Money Laundering
08:25 AML practice question
10:23 Types of B/Ds
14:55 SIPC
20:06 Reg SP
20:48 SP practice question
21:58 Insider Trading Act of 1988
27:48 Uniform Securities Act
30:57 FINRA
32:10 Very important answer set
36:45 U-4 and U-5
44:55 Code of conduct !!!!!!!!!!!!!!!!!!!
56:08 4 practice questions
1:02:10 Customer complaints
1:05:06 Code of procedure
1:08:12 Code of arbitration
1:10:53 Retail communications

[@Series7Guru]

Check out '33 Act next kzbin.info/www/bejne/inrHaoiegrNjldU

[@bjgruber]

I greatly appreciate these videos you post.

[@Series7Guru]

Glad you are finding them helpful. Thanks for the superchat!

[@joeysslow]

Dean, thank you so much for everything you do. God bless your soul. I just passed my SIE!! Next doing S65! Your videos have helped me more than you’ll ever know. 😊

[@Series7Guru]

Kudos on your first testing victory! Will see you on the 65 playlists. Always very gratifying when this channel contributes to test taking victories like yours

[@hopeowens35]

Thanks, Dean

[@Series7Guru]

De nada

[@darwincampbell5966]

This was very interesting and helpful. Set things in order for test this week.

[@Series7Guru]

Glad you found it helpful.

[@silvermine2033]

How did you do?

[@ashtong.883]

Thank you Dean for another good one! I have my test date officially, so we are going to be hanging out together a lot more! LOL

[@Series7Guru]

Looking forward to it. Lol. Keep grinding. Stay the course!

[@njperuviankid]

Thank you Dean

[@Series7Guru]

De nada

[@ColeIsKing]

Another gem!

[@Series7Guru]

Thank you.

[@Wai755]

Hi Dean, regarding the slide about retail communication, what about if the RR go on a TV show or seminar(more than 25 potential investor) is this consider as " retail communication"? My stc textbook also has a category for public appearance what can I do to differentiate whether it is retail communication or public appearance.Thank you so much.

[@Series7Guru]

There is no test question about public appearances other than they must be supervises

[@cardozacapital]

Dean, I just started reading “The Harder You Work, the Luckier You Get” by Joe Ricketts. Thanks for the recommendation! Do you have any similar recommendations?

[@Series7Guru]

I do. Schwab's Invested and Shoe Dog by Phil Knight.

[@10xleverage]

Did you write the SIE lol, genius!!

[@Series7Guru]

No. Lol. I do have a pretty good understanding of what is tested and what is not.

[@oliviazuniga4677]

Hi! Do you tutor?

[@Series7Guru]

Yes. There is a link for tutoring in the channel description.