Series 65: 8.9. Regulation Of Broker-Dealers

Taken from our Series 65 Online Guide

8.9. Regulation of Broker-Dealers

Most of the regulations discussed so far have pertained to investment advisers and their representatives. That’s because there’s a good chance you’ll be working in one of those capacities if you’re taking the Series 65. But as you’ll come to find out, not everyone who gives advice is an investment adviser or an investment adviser representative. There are oth

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 8.9. Regulation Of Broker-Dealers, you might also be interested in:

Series 22 - 2.5. Taxation of Capital Gains

Series 24 - Review Quiz

Series 14 - Chapter 8 Practice Questions

Series 7 - 16.2. Non-Qualified Employer-Sponsored Plans

Series 7 - 2.11.4. Accrued Interest

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my series 65 exam on the first attempt! The books and sample questions are always very helpful. I leveraged this course with another program that was offered to me. I did mainly use this one and found the material very helpful. Overall, I would say the test questions that were in the book and online were much more difficult than the exam itself. I do like the crash course piece, but would also love the option of a instructional video which is what the other course offered. I learn not just by readying, but visually as well. The combination of the two were very helpful, but overall I felt the material, especially the sample test questions, were more comprehensive. Thank you for the material.

Ken Kramer

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

I am 73 years old and have been retired for 5 years. My fulfilling career of 38 years was mainly as a portfolio manager in a trust setting. A good friend of mine recently started an RIA and asked me to consider coming to work for him. Since I loved my job and retirement is boring in comparison, the decision to jump back in was rather easy. You know the old saying: if you love what you do, you will never work a day in your life. But yes, I must first pass Series 65. The study materials and whole program you have constructed are excellent. I read the phone-book sized reading materials and took many practice exams on the website. Just this morning I sat for the test and passed. Hooray!! I am convinced that your test preparation process made the exam seem easy. So I will recommend to anyone preparing for a securities exam to definitely consider getting your program. Thanks again for your outstanding program and guidance."

Rick Hinchberger Dover Advisors LLC

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD

I'm an auditory learner. Ordering the audio files was most helpful and I passed today with no worries.

Michael Freemire, Cambridge Advisors, Englewood, CO