[Series 66] 30, Trading Orders and Execution Costs

Podcast: Open Exam Prep · Ran Chen, EA, CFP®

Opublikowano: 2026-10-23

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: * The operational mechanics and price execution guarantees of market, limit, and stop orders. * How broker-dealers act in agency or principal capacities to charge commissions, markups, or markdowns. * The fiduciary obligation of investment advisers to achieve best execution across trading venues. * Permissible soft dollar safe harbor activities under Section 28(e) of the Securities E...