Series 66: Regulation Of Broker-Dealers

Taken from our Series 66 Online Guide

Regulation of Broker-Dealers

Most of the regulations discussed so far have pertained to investment advisers and their representatives. That’s because there’s a good chance you’ll be working in one of those capacities if you’re taking the Series 66. But as you’ll come to find out, not everyone who gives advice is an investment adviser or an investment adviser representative. The

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Regulation Of Broker-Dealers, you might also be interested in:

Series 52 - Rule G-10—Investor Client Education and Protection

Series 50 - Taxing Discount Bonds

Series 79 - Chapter Fourteen

Series 82 - 1.1.1.1. Types of Public Securities Offerings

Series 52 - 9.2.4.1. Book-Entry Delivery and Payment

Series 66 - 2.5.2.1.3 Moving Averages

Series 52 - 8.4.2. MSRB Rules

Series 79 - 11.4.2. The Definitive Agreement

Series 50 - Amendments to Exchange Act Section 15b

Series 7 - 12.9. Transactions That Do and Don’t Require Registration: SEC Rule 145

Series 63 - Chapter 3

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66

I passed the Series 66 with an 82 after just a few weeks of serious studying, thanks to the Solomon Exam Simulator and study calendar! I would (and do) recommend Solomon Exam Prep to everyone!

Janie Richards, Kestra Financial, Austin, Texas

Hi Jeremy & Karen, I just passed my 66 today! I'm so thrilled! I had an interruption of my studies a few weeks back due to some distracting issues, but I got back on track, focused hard on the book, the practice quizzes and exams, and I made it! I'm a true believer in the value of your study materials. I'd recommend your firm's materials to anyone that wants to pass the first time they take these really challenging exams. Now I've got my Series 7 and my Series 66, and I did it with the terrific support of this Exam Prep. Thank you for these great study materials.

Howard Silverberg

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

Your Pass the 7 and Pass the 66 training manuals were really well written and the generous dose of sarcasm was excellent. I would recommend your materials to anyone who needs to take these exams.

Jacob Clevenstine, Strategic Wealth Management Group, Madison, WI

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA