Series 63: 5.7.12.2 Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 63 Online Guide

5.7.12.2 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 a

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 5.7.12.2 Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 6 - 5.2. Closed-End Funds

Series 66 - Exercise

Series 24 - 1.2.4.5. Business Continuity Plans and Emergency Contact Information

Series 65 - Par Value of Common Stock

Series 3 - 4.2.1.1. Options Quotations

Series 65 - 2.8.4 Convertible Bonds

Series 65 - 4.2.2.2. Hedging with Covered Calls and Puts to Increase Income

Series 7 - 3.6.30 Rule G-30—Prices and Commissions Must Be Fair

Series 65 - 5.3.2.4 Behavioral Finance

Series 79 - 3.4.2.2. FIFO

Series 24 - Disclosure in Public Appearances

Series 65 - 1.4.1.5.2 The Current Ratio

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I used another exam prep for my series 6, failed it. Then came across Solomon Exam Prep. I passed series 6 once and just passed series 63 yesterday. Thanks for a great material.

Toyin Daranijoh, Primerica, Kalamazoo, MI

I passed the Series 63 exam yesterday. Thanks for your help and everyone at Solomon. You guys are great!!!

Tom Armstrong, Berliner Cohen, San Jose, CA

Nailed my Series 63!! Solomon, y'all rock! Passed this exam after failing twice with another vendor. So folks, use Solomon and PASS!

Sri Murali, Regions Investment Solutions, Baton Rouge, LA

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

I followed the Solomon recipe for success and passed the Series 63 on my first attempt!!

Jaime Avery, John Hancock, Boston, MA