Welcome to PassMasters’ Questions of the Week with Suzy Rhoades, our expert securities exam prep instructor. If you are studying to pass the Series 63, Series 65, or Series 66 exams, this video is for YOU!

In this video, Suzy will cover 20 questions related to the topic of Regulation of Investment Advisers using questions 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 Rayna'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/

“I passed my Series 6 and 63 exams on my first try using your online classes. I have and will continue to recommend PassMasters. Mahalo for your help!”

Rayna Series 6 & 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
0:41 Practice Question 1 – Advertises services
2:12 Practice Question 2 – Multistate advisers
3:27 Practice Question 3 – Supervised persons
4:15 Practice Question 4 – Fiduciaries
5:56 Practice Question 5 – Financial planners
6:41 Practice Question 6 – Net worth under state law
7:50 Practice Question 7 – Successor firm
8:37 Practice Question 8 – Sells market reports
9:08 Practice Question 9 – State law net worth
10:00 Practice Question 10 – Registration at the time of updating amendment
14:46 – Practice Question 11 – Who must register as an IA?
15:30 – Practice Question 12 – De minimis rule
17:36 – Practice Question 13 – Provides specific advice regarding securities
18:13 – Practice Question 14 – IAs register where?
19:00 – Practice Question 15 – Federal versus state registration
20:59 – Practice Question 16 – Federal IAs
22:40 – Practice Question 17 – Books and records rule
23:22 – Practice Question 18 – Private fund advisers
24:34 – Practice Question 19 – State registered IAs
25:35 – Practice Question 20 – State registration
26:58 Recap