Series 65: Prohibited Mutual Fund Practices

Taken from our Series 65 Online Guide

Prohibited Mutual Fund Practices

Breakpoint sales. Because breakpoints can be confusing to investors, registered representatives should help their clients understand and take advantage of breakpoints. If the investor is a few dollars shy of a breakpoint, the representative should advise the investor of this, even if it means the commission is reduced. When a rep fails to do this and sells a mutual fund to a client in an amount

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Prohibited Mutual Fund Practices, you might also be interested in:

Series 82 - 1.1.1.3. Public Offerings Exempt from Registration: Regulation A Small Business Offerings

Series 66 - Variable Annuity Regulations

Series 3 - 6.2.3.2.2. Congestion and the Rectangle Formation

Series 82 - 3.4.1.3. Speculation

Series 66 - 2.4.3. Maturity Structure

Series 53 - 4.1.5.3. 529 Plans

Series 65 - 3.8.7. Taxation of Life Insurance Products

Series 53 - Municipal Notes

Series 65 - 8.7.1.1. People and Entities Excluded from Investment Adviser Definition

Series 3 - 7.3.5.3. Net Capital Requirement: FCMs

Series 51 - Who Can Sell 529 Plans?

Series 79 - Coupon

Series 54 - 2.2. Duties and Standards for Municipal Advisors

Series 27 - Conditions of FINRA Membership

Series 65 - Equity Funds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Just wanted you to know, I passed the Series 65 exam on the first attempt. Your book was easy and enjoyable to read, all of the important information was very well explained. But I found your online quizzes and exams extremely helpful in getting the material entrenched in my memory. I was very comfortable with the format and wording of the questions on the actual exam after drilling with your online program. Thank you for enabling me to move to the next level of my career.

Robert Rosenbaum, Sarasota, FL

I used you guys when I sat for the Series 7 two weeks prior and passed that bad boy too. The Solomon books are awesome and allowed me to pass these challenging exams [Series 65 and Series 7] the first time. Highly recommended. Thank you.

Jonathan Freehill, Houston, TX

My name is Michael Urbanski, CPA and I was able to pass the Series 65 exam on my first attempt. For me, I like to study from all the credible resources I can find. Using exam simulators and exposing yourself to as many sample exam questions helps to learn how an exam is written. I would recommend using these materials to help YOU pass the exams you chose to sit for.

Michael Urbanski, CPA Toledo, OH

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI

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 took the exam three days after we spoke. I had to drive 75 miles to the test center. I finished the exam in a little under two hours and did not want to second guess myself in changing any of my answers. Upon completion of the exam, and subsequent grading I saw a 65 on the screen and I couldn't believe I did so poorly. However, the 65 I saw stood for the Series 65 not my grade and several lines below was my grade which was an 87. Thus I passed with a minimum amount of study looking over your online exam simulator. The questions were very similar to your review questions and I am sure that a candidate who reviews your questions and understands the application will have no problem passing the exam. Thanks for a great product.

Jeff Dampf