Series 65: Recommending Securities The Professional Trades In

Taken from our Series 65 Online Guide

Recommending Securities the Professional Trades In

Any time an investment adviser recommends a security that he owns, the adviser must disclose this to the client. Advisers must also disclose if they are acting against the recommendations they provide to clients. This limits unethical professionals’ abilities to drive up or down the price of an investment by telling their clients to buy or sell and then benefiting from that knowledge in their own trades.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Recommending Securities The Professional Trades In, you might also be interested in:

Series 6 - 2.1.1.4. Know Your Customer Rule

Series 22 - 1.1.4. Limited Liability Companies (LLCs)

Series 65 - 10.7 Investment Company Communications

Series 50 - Financial and Operations Principal (Series 27)

Series 6 - 3.4. Roth 401(k)

Series 50 - Flat Price

Series 53 - Municipal Securities Dealer

Series 50 - Exception for a Minor Portion

Series 26 - Preservation of Other Records

Series 6 - 5.1.4.2. Board of Directors

Series 66 - 1.2.2.7.3. Beta

Series 82 - Callable Bonds

Series 50 - General Information Not Considered Advice

Series 65 - Common Stock Shareholder Rights

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Hi Jeremy, I passed! Thanks for all your hard work and support to help me get through the Series 65! I went from scoring a 65 [using a competitor's material] to a 79 percent [with your Exam Prep]. I felt your material covered the exam perfectly. I went out of my way of actually learning instead memorizing. I used the book and the audio book as well as your online test prep. I am glad that is over with! Thanks again, best wishes to you as well.

Bryce Lindley, Sisters, Oregon

My oldest son purchased your Solomon audio exam guide to pass his Series 7, and I did the same for the Series 65 exam at his recommendation. Although I am 62 and have been out of college for forty(40) years, I passed my Series 65 exam on my first try. This would NOT have been possible without your excellent study materials. Thank you! for the service you provide to all aspiring test takers where so much is on the line!

Most Sincerely,

David Hartzell

Cornell Capital Management

David Hartzell, Cornell Capital Management, New York

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time. Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email and the author/owner Jeremy Solomon 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. Thank you Solomon Exam Prep!!!!!

Carol K. Gallagher TIAA-CREF Upstate New York

I passed the Series 65 this afternoon! Your online test simulation was terrific. Thanks so much!

David G., San Francisco, CA