Series 66: 9.2.3. 12b-1 Fees

Taken from our Series 66 Online Guide

9.2.3. 12b-1 Fees

As previously discussed, 12b-1 fees are asset-based charges for selling, marketing, and distributing a mutual fund. They include advertising costs, such as printing materials and mailing prospectuses. Because many firms do not charge commissions for the sale of mutual fund shares, 12b-1 fees are sometimes taken from a fund’s assets and

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 9.2.3. 12b-1 Fees, you might also be interested in:

Series 54 - 2.3.2. Restrictions on Financial Advisors

Series 53 - 6.2.3.3.3. Form of Securities

Series 26 - Default Records Retention

Series 63 - Series 63 Online Guide

Series 28 - Exercise

Series 50 - Unfair Practice in Municipal Securities

Series 66 - 9.1.6.2. Code of Ethics and Access Persons

Series 63 - 5.8. Practical Application

Series 50 - Other Postemployment Benefits

Series 24 - IPO Distribution Rules and Restricted Practices

Series 65 - Buy and Sell Orders

Series 14 - 8.3.1. Individual Accounts

Series 65 - Chapter Five: Client Accounts, Client Profiles, and Portfolio Analysis

Series 65 - Indirect Violations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my Series 66, 1st try. Your audiobook was the game changer for me. Thank you!

S Stephens, Merrill Lynch. Orlando, FL

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

I passed the Series 66 with an 82 after just a few weeks of serious studying, thanks to the Solomon Exam Simulator and study calendar! I would (and do) recommend Solomon Exam Prep to everyone!

Janie Richards, Kestra Financial, Austin, Texas

I found encouragement along the way from reading other people's testimonials, so payback is to write one of my own. Solomon is the gold standard for customer service. I passed the 66, SIE first tries -- received a 69% on the 7 (failed), but passed on the 2nd attempt. I'm in awe over the outreach I received from day 1 but especially from Jeremy on how to move forward after falling short on the Series 7 - followed his advice - one of which was to get the accompanying videos and passed. Watching/studying the Chapter 5 video had a big impact. I also printed the questions I got wrong that I particularly struggled with while taking the online exams, printed and/or turned them into flashcards, then taped many of them around the house. It forced me to constantly revisit the information and moved me past a superficial understanding. I'll take a messy-looking home for a short time than having to retake a 3 hour and 45 minute exam.

Brook Langston, Everspire. Salt Lake City, UT

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

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV