Series 63 podcast · Episode 02
Definition of an Investment Adviser Representative
48 min of listening
Regulations of Investment Adviser Representatives. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Definition of an IAR
- IAR Registration Requirements
- IAR Registration Procedure
- Examination Requirements
- Post-Registration Obligations
- Denial, Revocation, Suspension, Cancellation, and Withdrawal
- IAR vs. Agent Registration
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.