Series 66

Textbook

1. Investment vehicle characteristics

2. Recommendations & strategies

3. Economic factors & business information

4. Laws & regulations

4.1 Securities laws

4.2 Definitions

4.3 Registration

4.3.1 Broker-dealers

4.3.2 Agents

4.3.3 Investment advisers

4.3.4 Investment adviser representatives

4.3.5 Securities

4.4 Enforcement

4.5 Communications

4.6 Ethics

4.3.5 Securities

Securities | Registration | Laws & regulations | Achievable Series 66

Achievable Series 66

4. Laws & regulations

4.3. Registration

Securities

1 min read

(change me)

All rights reserved ©2016 - 2025 Achievable, Inc.