Series 66: 7.10.3. Limits On Employment Or Association

Taken from our Series 66 Online Guide

7.10.3. Limits on Employment or Association

While the USA is more nebulous on the limits of employment and association with investment adviser representatives, it draws some clear lines in the sand for agents of broker-dealers. Specifically, there are two clear limits placed on employment or affiliation with a broker-dealer or issuer.

1. B

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 7.10.3. Limits On Employment Or Association, you might also be interested in:

Series 79 - Chapter 8 Practice Questions

Series 24 - Escheatment

Series 3 - 7.3.7. Prohibited Activities

Series 66 - 2.4.2. The Bond Indenture

Series 63 - 5.3 Client Funds and Securities

Series 3 - Exercise

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

Series 66 - Chapter Four

Series 65 - 10.9.1 Investment Advisory Fees

Series 79 - 2.4. Suitability Obligations

Series 7 - 16.5. Required Minimum Distributions

SIE - 4.1.1.6. More Options Terminology

Series 14 - 3.2.1. Short Interest Reporting

Series 53 - Reporting Procedures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent.

William Crull, Metairie, LA

So, on this exam [Series 66] I used both your material and Kaplan. mainly because the bank had already paid for kaplan and I had grown accustom to your laid back writing style along with a great mp3 version of the book. Anyway, I got a fair amount of questions from both the kaplan material and your material before taking the test. I have to say that your material matched more closely to the test than I ever would have expected. I will be coming back to Solomon exam prep for ALL of my exam prep needs. :-) Thanks!

Marshall Wolfe, Hopkinsville, KY

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA

I used Solomon's Online Exam Simulator as a supplement to company provided materials for the Series 7 & 66, passing with scores of 86% & 88%. The online simulator made it easy to study on the go and provided peace of mind of preparedness walking in on test day. Highly recommended.

John Watlington, Merrill Lynch, Raleigh, NC

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

Jeremy and team, thank you for your excellent study materials and your availability to provide guidance and feedback as I was able to pass my Series 66 on the first try... The most telling confirmation your training materials are top notch... when I sat for my exam, once the test started and I read the first question, I instantly knew from my studies using the Solomon training, I was going to handle the test. Being able to sense this from the first question was more than comforting. Thank you again!

Pablo Serna, Silicon Valley Bank, Menlo Park, CA