Series 65: Partners, Directors, And Managers Of Broker-Dealers

Taken from our Series 65 Online Guide

Partners, Directors, and Managers of Broker-Dealers

The Uniform Securities Act states that:

A partner, officer, or director of a broker-dealer or issuer, or a person occupying a similar status or performing similar functions, is an agent only if [that person] otherwise comes within this definition.

• Explanation: If a partner, officer, or director of a firm does not effect securities transactions on behalf of the firm, then he is not an agent. If he does engage in agent activities, then he is an agent.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Partners, Directors, And Managers Of Broker-Dealers, you might also be interested in:

Series 53 - Rollovers

Series 53 - SIPC Coverage Limitations

SIE - Tender Offers

Series 27 - Location of Records

Series 82 - Communications with the Public

Series 79 - 3.5.5.1. Expected Rate of Return

Series 7 - 12.7.4. Crowdfunding: Regulation CF

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

I used Solomon for the 63 and the 65 and PASSED both on 1st try. U will too.

Pavel Jezek, Denver, CO

I just passed the Series 65 exam – thanks, Jeremy! Your excellent and enjoyable book and challenging practice exams-and-quizzes were my only resources. This exam kicked my butt, but I was able to accomplish the only essential task – simply "to pass" – because of the thoroughness (and the plain English and occasional humor) of these two essential test prep materials. Here's my warning -- don't underestimate the difficulty of this exam! I highly recommend that fellow Series 65'ers keep taking the practice exams and quizzes until they can comfortably get a score of 80+ before scheduling their exam; you need to go into the exam room with the confidence that this crucial simulated test-taking experience will provide. I'm so grateful for your help!

Jeff Hartnett, Portland, OR

I did so many practice exams with Solomon and never saw one question twice. The quality of study material is thorough, with a touch of humor, and gives it to you in many formats (visual both on the computer or in book format if you wish), as well as audio that you can listen to in the car, as well as the benefit of videos of actual lectures from professors. I felt as though getting the information in all those formats allowed me to really grasp the information using different senses and facilitated the learning process even further.

Stacey Sperry, Durham, NC

Your material was great. I took the Series 65 in March [2010] and passed with a 90%.

Mark S., Baker, Vermont

I thought the study material from Solomon Exam Prep was great. It helped me focus on the sections where I needed to study the most. I passed with an 81% on my first try for the Series 65 exam. I would definitely use Solomon Exam Prep again if I need to get any more licenses.

Michael, Portland, OR