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

Taken from our Series 63 Online Guide

Acting as Agent to Both Parties (Agency Cross Transactions)

Underlying the very concept of being an “investment adviser” for a client is the idea that you are working in his or her best interest. Naturally, it creates a conflict of interest when you are representing both sides of a transaction (the buyer and the seller), since to work in one person’s best int

+ Read More

More Series 63 Info

What are people saying?

Create an Account

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

Series 65 - Sales Charge

Series 66 - 4.5.6.2.2. Hedging Strategies

Series 22 - 1.2.2.2. Public Limited Partnerships on the Secondary Market

Series 7 - 17.6.2.1. Broker-Dealer Market Access Rules

Series 63 - Currency Transaction Reports (CTRs) and Suspicious Activity Reports (SARs)

Series 24 - 5.6.5. Nasdaq Order and Quote Features

Series 50 - Open Market

Series 24 - 2.1.6. Member Supervisory Controls

Series 7 - 11.1.6. Retail Communications that Include a Recommendation

Series 24 - 5.10. Quotation Rules

Series 26 - License and Jurisdictional Retention

SIE - Exercise

Series 66 - 3.7.1 Term Life Insurance

Series 28 - Understanding a Dividend Distribution

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

You guys rock!

Scott MacDonald, Lee Munder Capital Group, Boston, MA

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've been using Solomon Exam Preparation materials for my last four Series tests: the Series 82, Series 63, Series 79 and just recently the Series 7. My scores on these tests were 88, 90, 88 and 90. The Solomon texts were comprehensive and easy to read; everything you need to know is in there. But there is so much material that these exams cover that you have to read the texts several times over and take as many practice quizzes and tests as you can until you score in the mid 80's. Then go in for the test. That's what I did. I went in scoring in the mid 80's on practice exams and "peaked" at higher scores while taking the actual tests. You can't do any better than Solomon. I highly recommend them.

Michael McGregor, FOCUS Investment Banking, Charlotte, NC

Based on our results since adopting the Exam Prep Series 6 and Series 63 training program, I decided to try out the Exam Prep's pre-licensing program for the New York State Life, Accident and Health license exam. The material is comprehensive, clear and easy to understand, and I am getting positive feedback from my students. We're looking forward to increasing our first-time insurance exam pass rates with , like we did with securities licensing training.

Jim Sugrue, Development Manager, New York Life

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

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