Series 66 podcast · Episode 26
Investment Adviser Regulation
1h 10m 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:
- Definitions
- Notice Filing Requirements
- Registration and Post-Registration Requirements
- Exempt Reporting Advisers and Private Fund Advisors
- Investment Adviser Representative Supervision
Put this episode into practice with adaptive questions and flashcards in the full Series 66 course.