Series 7: 11.3.1. Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our Series 7 Online Guide

11.3.1. Manipulative, Deceptive, or Other Fraudulent Devices

1. Member firms are forbidden to engage in any transaction or encourage the purchase or sale of any security by means of manipulative, deceptive, or other fraudulent devices. This broad prohibition has been applied over the years to address a wide range of misconduct, including market manipulation

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I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

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Shawn Sullivan Charlestowne Securities Darien, CT