Welcome to PassMasters’ Questions of the Week with Suzy Rhoades, our expert securities exam prep instructor.

Suzy Rhoades of PassMasters is here again! This week she has 20 securities law questions related to the topic of Communication with Clients/Customers and Prospects. These state securities law questions are full of multiple, multiple questions (stem questions, Suzy calls them). This topic includes the 2022 addition to the NASAA exams, the Marketing Rule! These 20 questions are presented directly from our securities exam prep licensing courses.

Need to pass your 63, 65, or 66 exam quickly? Check out more details about Suzy's courses here:

Series 63 Exam Prep Online Video Course With Suzy

https://passmasters.com/securities/se...

Series 65 Exam Prep Online Video Course With Suzy

https://passmasters.com/securities/se...

Series 66 Exam Prep Online Video Course With Suzy

https://passmasters.com/securities/se...

Are you studying for another securities license exam? Chances are Suzy can help you there too. To see all of Suzy's securities exam prep course offerings check out the following page of our site:

https://passmasters.com/securitiesex...

Check out Scott's feedback about my courses below and check our site to see what others have to say about their experience preparing for their securities exams:

https://passmasters.com/testimonials/

"As a 30year retired bank executive going back to "school" for an encore career, PassMasters was great. As an audible learner in an environment of online courses, the videos are absolutely priceless. Great job on helping me pass the Series 63 on my first attempt."

Scott Series 63 student

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Do you have questions about anything covered in this video? Or about any of the securities exams in general? Post a comment, and we will respond asap. Thanks for viewing, and happy studies!

Contents of this video
0:00 Welcome
0:37 Practice Question 1 – Advertisement under marketing rule
2:21 Practice Question 2 – Wrap fee disclosure
2:46 Practice Question 3 – Account with required documentation
3:22 Practice Question 4 – Communication is an advertisement when
4:10 Practice Question 5 – What can an agent say
5:15 Practice Question 6 – Disclosure requirement when broker/dealer raising fees
5:59 Practice Question 7 – Which is attributable to an investment adviser under the marketing rule
6:48 Practice Question 8 – Performance information
7:29 Practice Question 9 – Electronic delivery rules recap
8:40 Practice Question 10 – Statement under marketing rule
9:18 Practice Question 11 – Margin agreements
10:18 Practice Question 12 – Delivery of brochure and balance sheet
11:21 Practice Question 13 – Cherry picking
11:44 Practice Question 14 – Wrap fee program brochure
12:28 Practice Question 15 – IA’s firm brochure
13:02 Practice Question 16 – IA recordkeeping rule related to advertisements
13:29 Practice Question 17 – What is allowed in advertisements under federal law
14:25 Practice Question 18 – Private place memoranda
14:57 Practice Question 19 – Promises
15:21 Practice Question 20 – SIPC Coverage
16:07 Recap

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