Series 7: 3.6.23. Rule G-23—Activities Of Financial Advisors

Taken from our Series 7 Online Guide

3.6.23. Rule G-23—Activities of Financial Advisors

To avoid a potential conflict of interest, financial advisors to a primary offering are prohibited from also participating as underwriters for that issue. Financial advisors may, however, purchas

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 3.6.23. Rule G-23—Activities Of Financial Advisors, you might also be interested in:

Series 66 - Structure of Mutual Funds

Series 65 - 8.6 The Uniform Securities Act

Series 79 - A1.6.1.3. Zero Coupon Bonds

Series 6 - 1.3.1.1. Electronic Communications and Social Media

Series 14 - 2.7.4.2. Sell-Outs

Series 79 - Registration Requirement

SIE - Custodial Accounts

Series 14 - Chapter 7

Series 65 - 10.11.16.2. De Minimis Exception

Series 7 - 12.7.3. Intrastate Exemptions: Rule 147

Series 3 - 4.2.1.3.1. Exercise and Assignment

Series 14 - 2.8.3. Erroneous Reports and Error Accounts on the NYSE

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the S7 TO first time it was introduced from last year. I have used several books and none of them could be as complete as this one. I am a living witness to the completeness of your course material. If that was not the case, I would not have passed this very difficult exam. I owe my success to your exam materials and no other book, from those I know have come close. I am going to study for the Series 66 through Solomon Exam Prep. If this can help me through, then I am sure many more people would also succeed.

Stalin Miki, Bankerslife, Miami, FL

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

In preparation for the Series 7, I began with Kaplan. I tested and did not pass. I then switched to STC materials. I tested and did not pass. I then switched to Solomon and passed! I also used Solomon for the 63 and passed the first time. I highly recommend Solomon's test preparation materials. The question bank was far more extensive than the others and I definitely felt better prepared using Solomon.

Kara S, CLS, Carrollton, TX

I would not have passed the Series 7 top off without the Solomon materials. The structure of the questions was the closest out of all the programs I tried and their customer support is top notch. I will definitely be back! Thank you!!

Lauren J, Westlake, TX

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL