Series 63: Selling Away

Taken from our Series 63 Online Guide

Selling Away

If you’ll recall from the section on agents of broker-dealers, they are only permitted to be employed by one firm at a time. This means that any securities services they provide away from the primary firm that employs them are technically illegal. In parti

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I used the Solomon Series 63 prep and passed with confidence. I highly recommend following the 10 day study plan.

Melissa

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