Series 66: 9.4.15 Indirect Violations

Taken from our Series 66 Online Guide

9.4.15 Indirect Violations

Investment advisers and IARs are prohibited from engaging in an act indirectly or through another person if the act would have been unlawful for the IA or IAR to do directly. Essentially, if you ask someone or hire someone to do something for you that you would be prohibited from doing by securities law, you are still committing a violation.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 9.4.15 Indirect Violations, you might also be interested in:

Series 24 - Risk Assessment of Securities Products

Series 22 - Public Housing

Series 63 - Issuer and Securities – Definitions

Series 22 - 6.4.6. Preservation of Other Records

SIE - Participating Preferred Stock

Series 28 - Market Makers/Specialists

Series 7 - 7.1.3.2. Depreciation and Depletion

Series 65 - Cash Flow Statement

Series 82 - 1.1.2.1.1.1. Foreign Issuers

Series 24 - Three Years, Six Years, and Lifetime

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Karen and Team Solomon, thank you so much for all your support. Your Series 7 program was easy to understand. The "Ask the Professor" was invaluable for the Series 66. You are the program of choice for our office.

Kirk, PA

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 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

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

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

I passed the Series 66 with an 82 after just a few weeks of serious studying, thanks to the Solomon Exam Simulator and study calendar! I would (and do) recommend Solomon Exam Prep to everyone!

Janie Richards, Kestra Financial, Austin, Texas