Free Version

Review Topics
Practice Exams
Try a couple of yoga poses before showing up for your exam. Downward facing buffalo, anyone? Mind the tuft.

Researching Your BD (Broker-Dealer)

Dashboard > Ethical Practices and Fiduciary Obligations > Researching Your BD (Broker-Dealer)

Researching Your BD (Broker-Dealer)

You can tell that Bertie and Bubbie are starting to get a little bit concerned about Myron. His firm is otherwise unknown. There are no visibly tangible financial assets to his firm. His demeanor is just kind of… “off”. And Bubbie and Bertie don’t have to be financial gurus to get this vibe. Something is clearly amiss. Now Myron might just be eccentric – many great investors are. But he may be something else.

So Bertie, with steely determination to not let the bankruptcy that befell...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

Next: CASE STUDY: You Can't Forget Bernie
Prev: Frawwww'd 101

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.