Series 7: 3.6.42 Rule G-43—Broker’s Brokers

Taken from our Series 7 Top-off Online Guide

3.6.42 Rule G-43—Broker’s Brokers

Each dealer acting as a broker’s broker must make a reasonable effort to obtain a fair and reasonable price for its customers in relation to prevailing market conditions. Broker’s brokers are prohibited from taking any action that would work agai

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My oldest son purchased your Solomon audio exam guide to pass his Series 7, and I did the same for the Series 65 exam at his recommendation. Although I am 62 and have been out of college for forty(40) years, I passed my Series 65 exam on my first try. This would NOT have been possible without your excellent study materials. Thank you! for the service you provide to all aspiring test takers where so much is on the line!

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David Hartzell, Cornell Capital Management, New York

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Alex