Series 66 podcast · Episode 28
Broker-Dealer Regulation
1h 5m of listening
Laws, Regulations & Ethics. Available inside the full CertFuel Series 66 course in the app.
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 a Broker-Dealer
- Definition of an Underwriter
- Market Makers and Associated Persons
- Registration and Post-Registration Requirements
- Broker-Dealer Agent Supervision
Put this episode into practice with adaptive questions and flashcards in the full Series 66 course.