This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.
In this episode you will learn:
* The operational mechanics and price execution guarantees of market, limit, and stop orders.
* How broker-dealers act in agency or principal capacities to charge commissions, markups, or markdowns.
* The fiduciary obligation of investment advisers to achieve best execution across trading venues.
* Permissible soft dollar safe harbor activities under Section 28(e) of the Securities Exchange Act of 1934.
* How to avoid common exam traps regarding improper soft dollar usage for general office overhead.
Master Series 66 concepts with free practice questions and AI tools at https://open-exam-prep.com/practice/series66 and subscribe to our video channel at https://www.youtube.com/@Open-exam-prep .
Sources checked: September 14, 2026
* https://www.nasaa.org/wp-content/uploads/2023/02/Series-66-Outline-June-2023.pdf
* https://www.finra.org/registration-exams-ce/qualification-exams/series66
https://www.investor.gov/introduction-investing/investing-basics/glossary/market-order
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