RIA exemptions and exclusions (Series 63, 65, 66)
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RIAs (registered investment advisers) have a lot of rules, but there's also a lot of exceptions to those rules. These rules and exceptions are heavily tested in the NASAA Series 63, 65, and 66 exams. In this episode, Ken Finnen, a longtime veteran of the finance industry and FINRA tutor for decades, walks you through everything you need to know for these exams: what constitutes an RIA, what the rules are that investment advisers need to follow, and what are the key exemptions and exclusions to those rules that you'll need to know on these exams.
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RIA exemptions and exclusions (Series 63, 65, 66)