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Time stamps:
00:00 Shout out to Kaplan
1:10 Administrator
2:05 What is and is not a person. Natural or unnatural person. Minors are not persons. Declared mentally incompetent not a person
3:42 Registration of a broker/dealer. Office in state must register. Retail client in state must register
6:05 Agents of the broker/dealer or the issuer
7:28 Investment advisor
9:54 Insurance products are not securities products. A fixed annuity is an insurance product
10:52 Transactions not considered a sell under the USA
12:07 Not an issuer under the USA
13:45 NYSE, NASDAQ, Mutual funds are federally covered securities.
15:22 Securities exempt from registration
17:53 Not an exempt transaction
19:52 Prohibited transaction by an agent
20:57 Registration by qualification
22:40 Registration with the state
23:25 Revocation of a registration
24:45 Administrator does not have the power to jail
25:50 Surety bond
26:22 Agent making recommendation
27:42 Advertisement made by an investment advisor
28:40 Record retention
29:16 No omissions of material facts
30:19 Sufficient information for a recommendation
30:48 Charting system
31:29 Prohibited practices of an agent
32:25 Broker/dealer operating in a bank location
33:37 Safety of customer data