Broker dealer exclusions + problem walkthrough (Series 63, 65, 66)

Last in our broker dealer mini-series is another important testable aspect of broker dealers on the Series 63, 65, and 66 exams: what are the exclusions and exceptions to the rules we just learned that change a BD's eligibility or status. Brandon Rith, Achievable FINRA author, goes through these exceptions and then walks you through a BD exclusion problem in Achievable's Series 65 course. Follow along with the podcast by opening the problem here, no signup required. Achievable is a modern test prep platform for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me