Series 63: Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 63 Online Guide

Acting as Agent to Both Parties (Agency Cross Transactions)

Underlying the very concept of being an “investment adviser” for a client is the idea that you are working in his or her best interest. Naturally, it creates a conflict of interest when you are representing both sides of a transaction (the buyer and the seller), since to work in one person’s best int

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 82 - 1.1.2.3. Safe Harbor for Private Placements Sold Directly from the Issuer

Series 24 - 4.3.2.2. Going-Private Tender Offers

Series 66 - Hedging With Protective Puts and Calls

Series 65 - 3.1.3.3 Additional Fees

Series 24 - 4.4.1. Issuer Buy Back Rules

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

Thank you guys for the outstanding prep materials. I took the Series 79 and 63 in the same week and passed both the first time with great scores. I could not have been better prepared. Your exam simulator is especially awesome! Nothing on either exam surprised after.

Richard Walters, Virginia Beach, VA

Your "Pass the 7" guide and practice questions helped my studying immensely, and I passed the exam the first time. I am currently using the "Pass the 63" guide and practice questions - the teaching style makes the learning experience much more interesting! I will definitely recommend your products to my friends and colleagues. Thank you so much!

Patrick Chen, Midtown Partners, New York, NY

Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.

Tom L., Atlanta, GA

Solomon Exam Prep material was great. Explained in a way that is easy to learn and follow. Test questions really help the material sink in. I had failed the Series 66 twice using another service. When it came time to find new material for the Series 65 and Series 63 Solomon was it. I passed both the 65 & 63 with flying colors and I have Solomon to thank for that.

Jeff Champigny, Merrill Lynch, Greensboro, NC

I previously failed my attempt at the series 63. Not by much. Literally one question. But in analyzing why I began to understand that I needed a more comprehensive approach to studying as well as more variety. I looked into a few options and came across Solomon Exam Prep. What I enjoyed and found the most useful were the video presentation and practice exams with immediate feedback. Those exams enabled me to learn with explanation every time I got a question wrong (or right on a guess). The materials are all beneficial and well worth it. I recently passed the series 63 with a score of 85 and much of that success lies upon the use of Solomon Prep. Thanks.

Anslem Gardner