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| Name | Series 66 Exam Geek and Guru Podcast Episode 5 Disclosures and Unethical Business Practices |
| Video Uploader | Video From Series 7 Guru |
| Upload Date | This Video Uploaded At 02-02-2024 23:12:34 |
| Video Discription | (7) Communication with Clients and Prospects o Disclosures o Unlawful representations concerning registrations o Performance guarantees o Client contracts (USA § 102, IAA § 205, NASAA Contents of Investment Advisory Contract Model Rule USA 2002 502(c)) o Correspondence and advertising (e.g., social media, email, website, USA § 403, USA § 405, SEC Rule 206(4)-1, SEC Rule 204-2) (8) Ethical Practices and Fiduciary Obligations o Compensation (e.g., fees, commissions, performance-based fees, “pay to play,” soft dollars, disclosure of compensation, SEA § 28(e), SEC Rule 206(4)-3, SEC Rule 206(4)-5, NASAA Performance-Based Compensation Exemption for Investment Advisers Model Rule 102(f)-3, MSRB Rule G-37) o Client funds and securities (e.g., custody, trading discretion, trading authorizations, prudent investor standards, suitability, anti-money laundering (Bank Secrecy Act, PATRIOT Act), Uniform Prudent Investor Act, Suspicious Activity Report (“SAR”) filing requirements, NASAA Agency Cross Transaction of Investment Advisers Model Rule 102(f)-1) o Custody conditions and obligations (SEC Rule 206(4)-2, NASAA Custody Requirements for Investment Advisers Model Rule 102(e)(1)-1, NASAA Minimum Financial Requirements for Investment Advisers, Model Rule 202(d)-1) Page 14 o Conflicts of interest, criminal activities, fiduciary and other ethical considerations (e.g., loans to and from clients, sharing in profits and losses in a customer account, client confidentiality, insider trading, selling away, market manipulation, personal securities transactions, outside securities accounts, initial holdings and quarterly reports, political contributions, due diligence, excessive trading, SEC Rule 204A-1, NASAA Unethical Business Practices of Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers Model Rule, NASAA Dishonest or Unethical Business Practices of Broker-Dealers and Agents Model Rule 102(a)(4)-1, NASAA Statement of Policy Regarding Dishonest or Unethical Practices by Broker-Dealers and Agents in Connection with Investment Company Shares, NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation) o Cybersecurity, privacy, and data protection o Business continuity plans (e.g., disaster recovery, succession planning, NASAA Model Rule on Business Continuity and Succession Planning, 203(a)- |
| Category | Education |
| Tags | Education Download MP4 | Education Download MP3 | Education Download MP4 360p | Education Download MP4 480p | Education Download MP4 720p | Education Download MP4 1080p |
