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SIE	Series 6	Series 65	Series 26	MLO

CHANGE UNIT

Current Unit: UNIT 1: Regulation of Persons & Broker Dealers

Unit 1- Regulation of Persons & Broker-Dealers
Unit 2 - Regulations of Securities and Issuers
Unit 3 - Remedies and Administrative Provisions
Unit 4 - Communications With Customers and Prospects
Unit 5 -Ethical Practices and Obligations

Remember the word "PLATE".

Publishers, Lawyers, Accountants, Teachers and Engineers
If they give advice that is incidental to their business practice, they ARE NOT considered Investment Advisors.
- Unlike Certified Financial Planners and Pension consultants who are considered Investment Advisors.

Also, To know if they are an investment advisor, remember "ABC" and they must meet all 3 letters.

**(B)**usiness that gives **(A)**dvice for **(C)**ompensation.