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

In this video, Suzy will cover 10 questions related to the topic of Regulation of Investment Adviser Representatives using questions presented directly from our securities exam prep licensing courses. You can expect this topic to appear on the Series 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 Tim'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 just wanted to say this is an excellent program. I passed my test on the first go. Every one of my colleagues failed at least once. I had at least 58 questions that were word for word with your exams. (ie what security is most resistant to inflation? commons stock). Anyways, I have recommended your product to my branch admin because it’s costefficient, convenient, great teachers, your tutorials and tests don’t take that long compared with some Series 7 material I was studying. You don’t have to sit there for 2 hours and listen to a module.

What I would love to see you guys offer, is courses for more exams, like the Series 3 which has become big in our business not to mention I have to take that next haha.

Anyways. I can’t explain how it feels to know that as your going through the exam, your thinking “I GOT THIS!!!”. Thanks for everything. I wish you a prosperous future. Keep on rocking!”

Tim Series 66 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
0:36 Practice Question 1 – Who is not an IAR
4:57 Practice Question 2 – IAR state registration
6:47 Practice Question 3 – Leaving a firm
9:27 Practice Question 4 – Registration
10:51 Practice Question 5 – Requirements to register as an IAR
11:45 Practice Question 6 – Solicitors
12:10 Practice Question 7 – Federally covered IA’s IARs
12:44 Practice Question 8 – Supervised persons
13:47 Practice Question 9 – An IAR registers where
14:18 Practice Question 10 – Activities while awaiting IAR registration
15:01 Recap