Series 66

Mountain with a flag at the peak

Textbook

1. Introduction

2. Investment vehicle characteristics

3. Recommendations & strategies

4. Economic factors & business information

5. Laws & regulations

5.1 Securities laws

5.2 Definitions

5.3 Registration

5.3.1 Broker-dealers

5.3.2 Agents

5.3.3 Investment advisers

5.3.4 Investment adviser representatives

5.3.5 Securities

5.4 Enforcement

5.5 Communications

5.6 Ethics

5.3.5 Securities

Achievable Series 66

5. Laws & regulations

5.3. Registration

Securities

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