Series 63: 5.7.8. Selling Away

Taken from our Series 63 Online Guide

5.7.8. Selling Away

If you’ll recall from an earlier section, agents of broker-dealers are only permitted to be employed by one firm at a time. This means that an agent is prohibited from providing any securities services that are not associated with the firm that employs her. In particular, taking part in investment sales for securities that are not sold through an agent’s firm repre

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 5.7.8. Selling Away, you might also be interested in:

Series 3 - 4.3.1.1. Protective Put

Series 65 - 7.2.1.2.2.1 The Price Declines

Series 6 - 3.3.1. Traditional IRAs

Series 26 - Annual Financial Statements

Series 66 - 1.2.2.10. Portfolio Benchmarks

Series 66 - 9.4.16.8. Applicability to Pooled Investment Vehicles

Series 65 - People and Entities Excluded from Investment Adviser Definition

Series 7 - 12.5.1. Over-Allotted Issues: Greenshoe Option

Series 53 - Circumvention of the Rule

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have used Solomon exam prep for the 6/63 and was able to pass on the first try. Now I’m taking the 65 and hope to do the same. I’ve used other recommended exam prep courses and came back to Solomon for the 65 because of ease of use. I would recommend Solomon to anyone that is in need of a securities exam. All the content is laid out in an easy to follow way.

Antonio Mendoza, State Farm. Santa Maria , CA.

I passed with flying colors. Made an 83. Your material is awesome. I could not have done it without it. The book is a great start and then the online exam simulator seals the deal. Thanks for all your help...and especially for jumping to my aid over the weekend.

David Latham, Butler Snow Advisory Services, Ridgeland, MS

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

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

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

Melissa

I passed (Series 63) on the first try, and after only studying for 2 days! Your exam simulator really made me feel comfortable and confident enough to take the exam. Thanks!

Emilie Welker, San Antonio, TX