Series 65: 10.5.1 Common Categories Of Investment Advisory Fraud

Taken from our Series 65 Online Guide

10.5.1 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 adviser s

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.5.1 Common Categories Of Investment Advisory Fraud, you might also be interested in:

Series 53 - Condition of Certificates

Series 7 - 18.2.5.3 SIPC Coverage Limitations

Series 66 - 3.7.4.5 Taxation of Life Insurance Products

Series 79 - 11.2.3. Identifying Tax Issues

Series 52 - 7.4.3.2. Open Market Trading Desk

Series 24 - Trade Reporting

Series 65 - 9.2.3. Other Provisions

Series 66 - Issuance of Preferred Stock

Series 26 - Annual Amendments to Registration Statement

Series 7 - 2.8.1 Mortgage Bonds

Series 53 - Out-Firm Quotes

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time.

Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email from author/owner Jeremy Solomon and he actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam.

Thank you Solomon Exam Prep!!!!!

Carol Gallagher, TIAA, Syracuse, New York

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

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

I took the Series 65 Exam and passed with a good score. Thank you for all the materials. I did have to put a lot of study time into it but with hard work, your materials and prayer I passed!

Carla Martinez, GoodFuture, Laguna Beach, CA

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY

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!