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Published on:

5th Mar 2026

[Series 6] 28, SEC and FINRA Regulations

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the Series 6 Exam. In this episode you will learn: - The "100-100" rule for when an investment company must register with the SEC under the Act of 1940. - How a fund's board of directors must be structured and how 12b-1 fees change that requirement. - The core principles of the FINRA suitability rule through concrete exam-style scenarios. - How to identify and avoid prohibited practices like "selling dividends" and "breakpoint sales" using a simple mnemonic. - The FINRA rules for ensuring that all advertising and communications with the public are fair, balanced, and not misleading. For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818
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Open Exam Prep
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Open Exam Prep: Mastering Financial Exams

The path to becoming a certified financial professional is known for its difficulty, and finding high-quality, accessible study material shouldn't be the hardest part.

Created by Ran Chen—an AI application enthusiast, Financial Advisor, and holder of the EA (Tax), Life Insurance, Series 6/63/65, and CFP® designations—this podcast was born from personal experience. Having navigated these challenging exams himself, Ran realized the need for better resources and created Open Exam Prep as a free solution for aspiring professionals.

Each episode breaks down complex major exam topics into clear, digestible lessons, covering everything from tax planning and estate strategies to retirement solutions and investment principles. Whether you’re studying during your commute, workout, or downtime, we are here to guide you—one question, one topic, one victory at a time.

Visit for more content: https://open-exam-prep.com/
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