Episode Details
Back to EpisodesSeries 63 The Administrator and Jurisdiction ( Series 65 and Series 66 )
Description
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.
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Real-world finance explained the way exams and real life actually test it.
Ideal for the SIE, Series 7, Series 65/66, and anyone who wants to actually understand money—not just memorize buzzwords.
⚠️ Disclosure
This podcast is for educational purposes only and is not a recommendation to buy or sell any security. Opinions expressed are solely those of the host.
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