Kenneth discussed the role of a state regulator, the administrator, in overseeing security transactions. He explained the concept of an offer and how it can be regulated, as well as the distinction between an offer and a sale in the context of share transactions. Kenneth also elaborated on the registration process with the administrator, the powers of the administrator, and the importance of record keeping for broker dealers and Federal Ias.
Intro to the SIE exam part 2 8/26/2024
Intro to the SIE Exam 8/24/2024
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Series 7 Exam :Exploring the Different Types of Mutual Fundss
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Dividend Timeline: New Rules for T+1 SIE Exam prep and Series 7 Exam Prep
Live Q&A SIE exam and ALL FINRA and NASAA Exams.. May 30th, 2024
Live Q&A May 21st 2024 ( SIE Exam, Series 7 Exam, Series 66 Exam )
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LIVE Q&A ALL FINRA AND NASAA Exams May 16, 2024
SIE Exam prep: Riskless Principal vs Net Basis
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