Series 65 Exam Changes Effective June 12, 2023

Series 65 Podcast Playlist - All Episodes    • The Geek and The Guru Series 65 Exam Six E...   Series 65 Lectures    • Series 65 Investment Advisor Representativ...   Series 65 Practice Tests and Questions    • Series 65 Exam FREE Practice Tests and Pra...   Time stamps: 00:00 Greetings and salutations 7:08 SPAC is a company without commercial operations and is formed strictly to raise capital through an initial public offering (IPO) for the purpose of acquiring or merging with another company. 10:20 Nontraded REIT Lack of liquidity and High fees 14:00 Relative Comparison of Mutual funds 16:00 The key question—particularly in the United States—is whether and when "digital assets" should be subject to securities registration. 20:10 ESG stands for environmental, social and governance, three words corporations use to describe conscientious approaches to issues like sustainability, diversity and worker welfare. 23:15 Solo 401k is a retirement plan that can maximize your savings if you're self-employed or if you're a partner in a business whose only employees are the partners and their spouses 25:12 Qualified Default Investment Alternative (QDIA) 26:54 Community property with rights of survivorship actually just essentially combines joint tenancy and community property into one form of holding title. 30:01 An Introducing broker, is a broker dealer who introduces customer accounts to a clearing broker dealer. The introducing broker dealer does not hold customer assets or securities. 36:00 Payment for order flow (PFOF) is the compensation a broker receives for routing trades for trade execution to a particular market maker. 39:02 Finder - a new limited exemption from broker registration requirements for “finders” who assist issuers with raising capital in private markets from accredited investors.