Series 65: 8.10.4.2. Partners, Directors, And Managers Of Broker-Dealers

Taken from our Series 65 Online Guide

8.10.4.2. Partners, Directors, and Managers of Broker-Dealers

The Uniform Securities Act states that:

A partner, officer, or director of a broker-dealer or issuer, or a person occupying a similar status or performing similar functions, is an agent only if [that person] otherwise comes within this definition.

Explanation: If a partner, officer, or director of a firm does not effect securities transactions on behalf of the firm, then he is not an agent. If he does engage in agent acti

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Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email from author/owner Jeremy Solomon and he actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam.

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