Series 65: 10.11.12. Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 65 Online Guide

10.11.12. Acting as Agent to Both Parties (Agency Cross Transactions)

An investment adviser must always work in the best interests of its clients. Naturally, it creates a conflict of interest when a firm represents both the buy and sell side of the same transaction, since to work in one person’s best interest is to potentially do harm to the other.

If an investment adviser acts as

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.12. Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 7 - 5.4.2.2. Hedging with Covered Calls and Puts to Increase Income

Series 66 - 2.4.16.2 Collateralized Mortgage Obligations

Series 6 - 6.3.7. Taxation of Life Insurance Products

SIE - 10.1.2. Municipal Securities Rulemaking Board (MSRB)

Series 79 - General Conditions

Series 14 - 6.2.1.1. Member Firm Private Placements

Series 53 - Supervising Customer Communications

Series 24 - Communications To Be Filed with FINRA

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The material and website were very well organized and thorough. I felt I was prepared for the actual, real test when I took it because I had gone through their range of questions with all the practice tests that I could do on their website, covering every topic, approached with different angles.

Stacey Sperry, Durham, NC

I just passed my Series 65 exam yesterday!! Your study material was awesome! Unfortunately, they only provided pass/fail and no specific grade because I wanted to know how well I did. Thanks so much!

Cheryl Fluker, Members Advisory Group, Williamsville, NY

I passed the Series 65 today. Thanks so much. The Series 65 Exam Simulator and the iPhone app were my only study instruments. I didn't have any other study materials. Granted, I know that you encouraged me to not use the exam simulator as my sole source, but I found your practice tests to be more difficult than the actual exam. I had taken the series 65 in 1994, but it is a different test now. I received an 89%, finished 55 minutes early. I just took your exam simulator tests over and over. Funny thing, I was getting in the 75% range on your exams. Never broke 80%. Great apps! I really appreciate your generosity in extending my subscription to complete my prep. You are a good man. Thank you.

Daniel Q. Humphrey, Financial Guard, Pleasant Grove, Utah

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

I wanted to thank you for your help several weeks ago. The practice questions were very helpful. I passed the exam (Series 65) on the first try with a solid score.

Alan Heacock, LPL Financial, Bedford, NH

I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!

Ashley