Series 66: The Transfer Agent And Registrar

Taken from our Series 66 Online Guide

The Transfer Agent and Registrar

Companies typically keep track of their securities issues by hiring a transfer agent, usually a bank or trust company. The transfer agent keeps records on who owns stocks and in what form, recording changes of ownership as they occur. It cancels stock certificates surrendered by the seller and issues new ones in the name of

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: The Transfer Agent And Registrar, you might also be interested in:

Series 27 - Long Positions in Margin Accounts

Series 66 - 8.1.2.5.1. Notice Filing for Crowdfunding Offerings

Series 50 - Pay-As-You-Go (PAYG) Financing

Series 26 - Variable Life: Other Characteristics

Series 50 - Prices and Commissions

Series 63 - Investment Adviser Representative – Definition

Series 3 - 4.3.2.2.1. Hedging vs. Speculative Options Strategies

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 66 today with an 85%. Your book and PDF test questions were great, and turned out to be the only study material I needed to pass the test on the first try. I'll look to you again when I need my Series 7. Thanks!

Joshua Reeves, San Diego, CA

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

I passed the Series 79, 7, and 66 thanks to your study guides. I scored an 85, 81 and 82, respectively. The exam simulator was highly useful and great preparation. I glossed over material I knew and really prepped topics related to laws and ethics, which these study guides effectively described and tested. I highly recommend Solomon!

Sean M, New York, NY

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

I could not have passed without your study program Two secrets.... ipad2 and 1400 practice questions. Scored a 78. [Series 66]

Scott Harrison The Standard Woodland Hills, CA

So, on this exam [Series 66] I used both your material and Kaplan. mainly because the bank had already paid for kaplan and I had grown accustom to your laid back writing style along with a great mp3 version of the book. Anyway, I got a fair amount of questions from both the kaplan material and your material before taking the test. I have to say that your material matched more closely to the test than I ever would have expected. I will be coming back to Solomon exam prep for ALL of my exam prep needs. :-) Thanks!

Marshall Wolfe, Hopkinsville, KY