Series 65: 10.11.12 Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 65 Online Guide

10.11.12 Acting as Agent to Both Parties (Agency Cross Transactions)

An investment adviser must always work in the best interests of its clients. Naturally, it creates a conflict of interest when a firm represents both the buy and sell side of the same transaction, since to work in one person’s best interest is to potentially do harm to the other.

If an investment ad

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.12 Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 63 - Selling Away

Series 52 - 2.7. Retirement

Series 66 - Annual Report

Series 66 - Third Market

Series 7 - 3.2.4.3. Variable-Rate Demand Obligations

Series 79 - Priority in Liquidation

Series 50 - Government-Sponsored Enterprises (GSEs)

Series 24 - 4.6.7. Disclosure in Public Appearances

Series 53 - Disclosure Standards

Series 50 - Introduction

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

I passed my series 65 exam on the first attempt! The books and sample questions are always very helpful. I leveraged this course with another program that was offered to me. I did mainly use this one and found the material very helpful. Overall, I would say the test questions that were in the book and online were much more difficult than the exam itself. I do like the crash course piece, but would also love the option of a instructional video which is what the other course offered. I learn not just by readying, but visually as well. The combination of the two were very helpful, but overall I felt the material, especially the sample test questions, were more comprehensive. Thank you for the material.

Ken Kramer

I am so happy to say that took my Series 65 Exam and passed on my first attempt! All thanks must go to Solomon Exam Prep and its materials. I read the Study Guide cover to cover 3 times, took notes and took what felt like endless practice quizzes, but I must say that I found the practice questions more difficult than the actual exam! I cannot recommend Solomon Exam Prep enough!

Kevin Blanchard, Meche and Associates. Breaux Bridge, LA

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY

I'm an auditory learner. Ordering the audio files was most helpful and I passed today with no worries.

Michael Freemire, Cambridge Advisors, Englewood, CO

I passed the Series 65 on the first try and I would absolutely give credit to this tool. We all learn in vastly different ways, so having the options available for a study guide, audiobook, video training, flash cards, practice tests - and ALL of the other resources available was critical to my success. I've been out of school for over a decade and remembering HOW to study was hard. I'm so glad I had all of these options.

Ashley Dunning, Inspire Investing. Kansas City, MO