Series 65: Appendix C: New Investment Adviser Marketing Rule

Taken from our Series 65 Online Guide

Appendix C

New Investment Adviser Marketing Rule

Unless you were born into a well-connected family, clients won’t just fall into your lap. You’re going to have to advertise yourself to make a living. The SEC's Marketing Rule sets the standards for federal covered advisers' marketing communications.

SEC Rule 206(4)-1

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Appendix C: New Investment Adviser Marketing Rule, you might also be interested in:

Series 65 - 6.2.2.3. Qualified Plans for Small Businesses

Series 63 - The Registration Process

Series 52 - 6.3.2. Cost Basis and Adjusted Cost Basis

Series 65 - Definition of Agent

Series 65 - 3.1.3.4. Investing and Reinvesting in Mutual Funds

Series 24 - 3.7.1.4. Disclosure Document

Series 7 - Chapter 16 Practice Question Answers

Series 99 - 1.2.2.2 Joint Accounts

Series 7 - 3.6.35 Rule G-35—FINRA Arbitration Procedures for Bank Dealers

Series 7 - 12.7.2. Small Issues: Regulation A

Series 54 - Continuing Disclosure Agreement

Series 66 - TIPS (Treasury Inflation-Protected Securities)

Series 6 - 4.3.11. Taxation of U.S. Treasuries and Municipal Securities

Series 79 - Underwriting Fee

Series 7 - 14.8.4. Four-Year Records

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Well, I finally was able to take my Series 65 and passed with an 85%. I think that the combination of your Series 65 text along with our other vendor made all the difference. It was good to have an additional reference for clarity and in some cases more detailed and straight forward discussion. Thank you for the materials.

Alesia Mullis, Churchill Financial, Louisville, KY

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY

I wanted to thank you for your help several weeks ago. The practice questions were very helpful. I passed the exam (Series 65) on the first try with a solid score.

Alan Heacock, LPL Financial, Bedford, NH

I want to thank Solomon Prep for helping me to pass the Series 65.

Nelson Coleman, Saint Louis, MO

I passed the Series 65 today. Thanks so much. The Series 65 Exam Simulator and the iPhone app were my only study instruments. I didn't have any other study materials. Granted, I know that you encouraged me to not use the exam simulator as my sole source, but I found your practice tests to be more difficult than the actual exam. I had taken the series 65 in 1994, but it is a different test now. I received an 89%, finished 55 minutes early. I just took your exam simulator tests over and over. Funny thing, I was getting in the 75% range on your exams. Never broke 80%. Great apps! I really appreciate your generosity in extending my subscription to complete my prep. You are a good man. Thank you.

Daniel Q. Humphrey, Financial Guard, Pleasant Grove, Utah

Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA