Series 63: 5.7.8 Outside Business Activities

Taken from our Series 63 Online Guide

5.7.8 Outside Business Activities

Under FINRA rules, an agent who wishes to engage in outside business activities (activities that are outside of her employment with her broker-dealer) for compensation must give prior

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 5.7.8 Outside Business Activities, you might also be interested in:

Series 7 - Appendix A

Series 51 - Regulation of Political Contributions (“Pay to Play” Rule)

Series 79 - Evaluating Potential Market Reaction

SIE - 2.12.2. Government-Sponsored Enterprises (GSEs)

Series 79 - Introduction

Series 24 - Outside Private Transactions

Series 65 - Accumulation Phase for a Nonqualified Annuity

Series 53 - Information Dissemination to Depository Agency

Series 50 - Transferred Proceeds

Series 53 - Restrictions on Transactions with Other Broker-dealers

Series 24 - Locking and Crossing Quotations

Series 28 - Report on Material Inadequacies

Series 65 - Form 10-Q

Series 66 - Deferred Annuity/Surrender Periods

Series 51 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Earlier this month I passed the Series 6 using the book and then for the Series 63, I read the book first (like always) and after that I was practicing all the time in your web page (about ten times by chapter, in order to master it). I studied the 63 in about 2 weeks and let me tell you that your website and the immediate feedback helped me a lot (I got an 85 in my test). Thank you very much!

Maricella Tenorio Bocangel, New York Life, New York, NY

I just wanted to say thank you! Thank you! Thank you! I had taken the 63 and failed and was quite discouraged. I happened to come across your book and iPhone app and I just passed [the Series 63] yesterday with an 83 ... a 15 pt difference than the last time I took it. I can not recommend your materials enough!

Julia Smith, RBC Wealth Management

I passed my Series 6 and 63 [on the] first try. Test simulator helped a lot. Thanks Solomon Exam Prep.

Vaishali Lad, PNC Investments, Toledo, OH

I just passed the Series 63 after failed in the first attempt as of January. I had studied with another vendor and after some research, I decided to buy Solomon material. I felt very comfortable with the material since English is my second language. And due to the type of the exam, this was very important. It took me time to make the decision for the 2nd attempt but Karen was important to support and she convinced me. I felt very comfortable till question number 20, after that a bit stressful but be sure that you will know the subjects. Thanks Solomon!!!

Ariel Barroso, MCM. Miami, FL

I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL