Series 63: 4.5.1 Common Categories Of Investment Advisory Fraud

Taken from our Series 63 Online Guide

4.5.1 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 advise

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 4.5.1 Common Categories Of Investment Advisory Fraud, you might also be interested in:

Series 65 - Disclosure

SIE - Interest Rates and the Business Cycle

Series 27 - Offsetting Long and Short Positions

Series 66 - Active vs. Passive Management

Series 82 - Chapter Three

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I failed the 63 three times over the course of four years. I passed the first time after taking your course.

Senica Omernik, Farmers Insurance, Stevens Point, WI

In preparation for the Series 7, I began with Kaplan. I tested and did not pass. I then switched to STC materials. I tested and did not pass. I then switched to Solomon and passed! I also used Solomon for the 63 and passed the first time. I highly recommend Solomon's test preparation materials. The question bank was far more extensive than the others and I definitely felt better prepared using Solomon.

Kara S, CLS, Carrollton, TX

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA

I passed my S63 Sunday, March 15th!!

Walter Whitehead, Los Angeles, CA

Thank you for the flexibility and the study material for 63, I ended up with an 87 thanks to your materials! Thank you Solomon!

Allen Ruffles

I passed the Series 63 on the first try. You now have a loyal customer in me. Using Solomon is probably the closest exam success guarantee you could possibly get. Thanks, your exam prep was worth every penny. I would recommend your exam prep to anyone and if I ever have a take another Series exam. I will only be using Solomon exam prep.

Joseph Boswell, FFA. Riverview, FL