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 26 - Expungement Prohibited Practices

Series 65 - Shareholders’ Equity

Series 27 - Issuer-Directed Exemptions

Series 53 - Rule G-3—Qualification Rules for Associated Persons

Series 66 - Chapter Six

Series 79 - 11.4. Between Selecting the Buyer and Closing

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my 66 with an 83%. The main method of studying was the mp3 that I downloaded and listened to on my commute to and from work. The audio book was the reason I did well. Thanks!

Eric Dicken, BB&T Investments, Winterville, NC

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

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS

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

Very excited to pass the Series 66! The Solomon practice exams were very helpful to understand the concepts and fundamentals of the questions. I would highly recommend Solomon Exam Prep for all FINRA exams. Make sure to have a good grasp on agent registration and suitability when taking the 66. Thank you Solomon!

Blake Rossman, TrueWealth. Bellevue, WA