How Broker-Dealers Register (Series 63, 65, 66)
Basic Wisdom - https://basicwisdom.net Video courses - https://basicwisdom.net/courses Tutoring help - https://basicwisdom.net/tutoring Other Basic Wisdom videos - https://basicwisdom.net/videos We explore how broker-dealers register, relevant regulations, and explore a practice question together. Video introduction: (0:00) Form BD: (1:01) Consent to service of process: (2:33) Filing fees: (3:10) Financial requirements: (3:52) Surety bonds: (4:53) Officer, director, and/or partner info: (5:29) Effective registration: (6:14) Length of registration: (6:53) Analyzing a practice question: (7:27) Achievable outro: (12:00)
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