{"podcast":{"title":"Open Exam Prep","slug":"open-exam-prep-7140559","podcast_index_feed_id":7140559,"rss_url":"https://feeds.captivate.fm/open-exam-prep/","website_url":"https://open-exam-prep.com/","image_url":"https://artwork.captivate.fm/abe4183a-4dfa-4a03-97da-92d15c5d473d/_bZUi6Yzjq6h3zQu_ZsaQB5Y.jpeg","author":"Ran Chen, EA, CFP®","episode_count":363,"summary":"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/","last_synced_at":"2026-07-26T00:19:27.877390+00:00","page_url":"https://stenobird.com/podcast/open-exam-prep-7140559"},"episode":{"title":"[Series 65] 73, Fiduciary Duty and Prohibited Practices","slug":"series-65-73-fiduciary-duty-and-prohibited-practices","published_at":"2026-06-05T01:01:53+00:00","page_url":"https://stenobird.com/podcast/open-exam-prep-7140559/series-65-73-fiduciary-duty-and-prohibited-practices","show_page_url":"https://stenobird.com/podcast/open-exam-prep-7140559","url":"https://open-exam-prep.captivate.fm/episode/series-65-73-fiduciary-duty-and-prohibited-practices","audio_url":"https://episodes.captivate.fm/episode/142c0a94-cb09-48fa-ba8f-2e35ed867d84.mp3","summary":"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 two primary components of fiduciary duty for an investment adviser are the duty of care and the duty of loyalty. - The duty of care includes providing suitable advice, seeking best execution, and ongoing monitoring. - The duty of loyalty requires advisers to place client interests ahead of their own and to disclose or eliminate conflicts of interest. - Prohibited practices like front-running, churning, and commingling are strictly forbidden and frequently tested. - Full and fair disclosure of all material facts and conflicts of interest is a cornerstone of an adviser's fiduciary obligation. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep","meta_description":"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 passionat…","key_points":[],"chapters":[],"topics":[],"duration_seconds":291,"processing_state":"not_requested","actions":[{"name":"request_transcript","method":"POST","url":"https://stenobird.com/v1/public/podcasts/open-exam-prep-7140559/episodes/series-65-73-fiduciary-duty-and-prohibited-practices/transcription-requests","description":"Idempotently request low-priority transcript generation for this episode."},{"name":"read_markdown","method":"GET","url":"https://stenobird.com/podcast/open-exam-prep-7140559/series-65-73-fiduciary-duty-and-prohibited-practices.md","description":"Read the agent-friendly Markdown representation of this episode resource."}]}}