Series 63,65,66 Exam: Ethics and Prohibited Activities

Podcast: Series 7 Whisperer · capadvantage

Opublikowano: 2026-10-24

Send us Fan Mail Ethics & Prohibited Activities: What You Need to Know for Your Securities Exams What's unethical, what's prohibited, and how do you recognize the difference on exam day? In this episode of Series 7 Whisperer®, we explore the ethical responsibilities, prohibited practices, and regulatory standards tested on the SIE, Series 7, Series 63, Series 65, and Series 66 exams. From misrepresentation and churning to conflicts of interest, discretionary trading, and fiduciary duties, we focus on understanding the concepts rather than simply memorizing definitions. Because passing these exams isn't about knowing a...