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

In this video, Suzy will cover 20 questions related to the topic of Regulation of BrokerDealers using questions presented directly from our securities exam prep licensing courses. You can expect test questions related to this topic to appear on the 63, 65 & 66 exams.

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

We will be posting questions of the weektype videos frequently, so please make sure to subscribe to our page and activate notifications.

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!

#series65 #series63 #series66

Contents of this video
0:00 Welcome
0:26 Practice Question 1 – Agents employed by
1:28 Practice Question 2 – Definition
2:05 Practice Question 3 – Consent to service of process
2:56 Practice Question 4 – Electronic records
4:13 Practice Question 5 – Registration
4:55 Practice Question 6 – Surety bonds
5:51 Practice Question 7 – Records
6:16 Practice Question 8 – Registration requirements
7:07 Practice Question 9 – Business in a state
7:45 Practice Question 10 – Automatic agent registration
8:30 Practice Question 11 – Who files consent to service of process
9:04 Practice Question 12 – Information on Form BD
9:45 Practice Question 13 – Bankruptcy disclosure
10:03 Practice Question 14 – Brokerdealer registration expiration
10:30 Practice Question 15 – Where to file consent to service of process
11:09 Practice Question 16 – Accounts of others
11:49 Practice Question 17 – For their own account
12:24 Practice Question 18 – Who can be a brokerdealer
13:00 Practice Question 19 – Business in a state without registration
14:13 Practice Question 20 – Business in another state
15:09 Recap