Series 63 podcast · Episode 06
Definition of an Agent of a Broker-Dealer
43 min of listening
Regulations of Agents of Broker-Dealers. Free audio, ready to play in your browser.
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the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Definition of an Agent of a Broker-Dealer
- Exclusions from the Agent Definition
- Activities Requiring Agent Registration
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.