Series 63: Selling Away

Taken from our Series 63 Online Guide

Selling Away

If you’ll recall from the section on agents of broker-dealers, they are only permitted to be employed by one firm at a time. This means that any securities services they provide away from the primary firm that employs them are technically illegal. In particular, being part of the investment sales process for securities that are not sold through an agentâ€

Since you're reading about Series 63: Selling Away, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 63
Please Enable Javascript
to view this content!