Series 6: Chapter Seven

Taken from our Series 6 Top-off Online Guide

Chapter Seven

Recommendations, Disclosures, and Recordkeeping Responsibilities

Recall that the suitability rule requires broker-dealers to understand their customers’ investment objectives, investing experience, financial status, liquidity needs, and risk tolerance prior to recommending a transaction or implementing a strategy. More specifically, the broker-dealer must meet three obligations. It must understand the nature of the recommended security or investment strategy and its risks. It must believe that its recommendations are suitable for that particular customer. If it has control over the customer’s account, it must believe that its recommended transactions

+ Read More

More Series 6 Info

What are people saying?

Create an Account

Since you're reading about Series 6: Chapter Seven, you might also be interested in:

Series 79 - 4.5.2. Sum-of-the-Parts Analysis

Series 50 - Sources of Credit Information

Series 26 - Holding Customer Orders

Series 51 - Yield to maturity

Series 6 - 1.1. Securities and Non-Securities

SIE - Death of a Client

Series 7 - 2.9.4.2. Conversion Value

Series 79 - 13.2.2. Modified Dutch Auction Tender Offers

Series 79 - Function 3

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

Well, I am back! Solomon did it again. I passed the Series 6. All of Solomons materials throughly prepared me for the passing of the SIE and the Series 6. Whose materials will I use for the Series 63? I am glad you asked. I must say it will be Solomon Exam Prep. Thanks again, Solomon your study materials are the best!

Leanene Carriere. Houston, TX

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

THANK YOU SOLOMON! I passed the SIE in December and Series 6 in February. I do not have a background in finance. The study materials prepared me wonderfully for the exams. I used the study schedule - took a ton of practice exams and re-read the material. Also, the testimonials were very encouraging, so I had to share that I had the same amazing experience. Thank you so much!

Candace Chavez, Cetera Investment Services. Wimberley, TX

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL

Thanks so much for your great product. I recently used for the Series 6 and took a month to study and passed. I previously used another provider and didn't pass.

K Francis, Allstate, Sugar Land,TX