『Episode 2: Broker-Dealers and Registered Representatives — Who Actually Does What?』のカバーアート

Episode 2: Broker-Dealers and Registered Representatives — Who Actually Does What?

Episode 2: Broker-Dealers and Registered Representatives — Who Actually Does What?

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Before you can understand securities transactions, you need to understand the people and firms conducting them. This episode explains the relationship between broker-dealers, brokers, dealers, registered representatives, customers, and regulators. Learn these distinctions early because they form the foundation for many of the rules and scenarios you’ll encounter throughout Series 7 preparation.
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