Series 66: Common Categories Of Investment Advisory Fraud

Taken from our Series 66 Online Guide

Common Categories of Investment Advisory Fraud

Fraud is an exceptionally broad concept that may show up in any part of a securities professional’s business. To avoid committing fraud, securities professionals and firms must remain honest in their dealings with clients and the public. Some common types of investment advisory fraud that have been prosecuted by the SEC are listed below (taken from an academic paper by Dimmi and Gerkin). These include:

• Direct theft. The a

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Common Categories Of Investment Advisory Fraud, you might also be interested in:

Series 24 - 4.3.2.8. Outside Purchase Prohibitions

Series 53 - Chapter 6: Uniform Practice and Recordkeeping

Series 24 - 4.1.3.6. Trust Accounts

Series 63 - 5.1 Compensation

Series 63 - Chapter 7 Practice Questions

Series 14 - 7.2.4.2.2. Investment Adviser Representatives

Series 50 - Six-Year Minimum Requirement

Series 51 - Exercise

Series 26 - Withdrawal of Registration

Series 51 - Authorization and Administration

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent.

William Crull, Metairie, LA

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 used Solomon Exam Prep for both the Series 7 and the 66 which I took within a couple of months of each other. I smoked both tests with an 85% and an 88%. Well above the passing score. The books have just enough humor to keep things interesting and the practice tests and quizzes are phenomenal. If you want to get the most out of these programs pound out as many practice test as you can.

K. Nick Thoeni, Gilroy, CA

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA