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 51 - SIPC Coverage Limitations

Series 66 - 4.1.3.1.1.1. Taxation of an Estate Account

Series 6 - 3.3.1.1. Contributing to an IRA

Series 51 - Municipal Securities

Series 22 - Taxation of a Like-Kind Exchange

Series 7 - 10.2.1. Systematic and Nonsystematic Risk

SIE - Forwarding of Securities Information and Proxy Materials

Series 53 - Loan Consent Agreement

Series 66 - 4.4.4. Growth vs. Value Management

Series 50 - Liquidity Risk

Series 53 - Bond Counsel

Series 7 - 5.6.1. Opening an Options Account

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

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

I passed my Series 66, 1st try. Your audiobook was the game changer for me. Thank you!

S Stephens, Merrill Lynch. Orlando, FL

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

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

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA