Series 66: 7.9 Regulation Of Broker-Dealers

Taken from our Series 66 Online Guide

7.9 Regulation of Broker-Dealers

Most of the regulations discussed so far have pertained to investment advisers and their representatives. That’s because there’s a good chance you’ll be working in one of those capacities if you’re taking the Series 66. But as you’ll come to find out, not everyone who gives advice is an investment adviser or an investment adviser representat

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 7.9 Regulation Of Broker-Dealers, you might also be interested in:

Series 65 - 9.1.2 Registration of Securities

Series 52 - Rule G-31—Reciprocal Dealings Prohibited

Series 7 - 17.4.2.1. Buy and Sell Orders

SIE - Altering Reserve Requirements

Series 63 - 3.4 Practical Application

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my 66 today - thank you Solomon for the assistance and materials. It was incredibly difficult! I wish I had watched the videos even more.

Jessica Koefod

I used Solomon Exam Prep for both the Series 7 and the 66 which I took within a couple of months of each other. I smoked both tests with an 85% and an 88%. Well above the passing score. The books have just enough humor to keep things interesting and the practice tests and quizzes are phenomenal. If you want to get the most out of these programs pound out as many practice test as you can.

K. Nick Thoeni, Gilroy, CA

Thanks to you guys, I passed my Series 7 the first time around on Tuesday the 21st. The information given was not only accurate but easy to absorb due to the way the material was set up in your course. I will back to study the Series 66 with you.

Albert Jose, AXA Advisors, Menifee, CA

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM