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 inte

+ 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 53 - 4.1.4. Variable-Rate Demand Obligations (VRDOs)

Series 66 - Ban On Certain Third-Party Solicitors

Series 53 - Municipal Fund Disclosures

Series 66 - Steps in a Typical Securities Trade

Series 65 - Tools of Government Policy

Series 14 - 5.1.4.1. Designation of OSJ General Securities Principal

Series 66 - 9.4.16.7 Catch-All Provision

Series 52 - 8.4.1.2. SEC Antifraud Rules

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed! Thanks to your materials, they really did help. I scored a 78% which is actually above the simulated exams I took. I think my highest score on the simulated exams was a 75%. I have used a competitor's materials for all previous exams I've taken successfully, however, for the 63 specifically, I found your materials to cover different topics that the competitor missed (or perhaps I missed while reviewing their materials). Thank you so much for the support and the great product. I will definitely pass your site onto friends going through the licensing process. Thanks again!

Katie Mueller, Chase Client Service Specialist, Chicago, IL

I thought you might appreciate knowing that I passed the test with a 90 today. Thanks again for all the help and good quality material that your company has. I am very glad to have used your materials and will certainly refer others to Solomon Exam Prep. (Series 6 & 63)

Matthew Baird, Gloversville, NY

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

The material was great and helped me pass the 63. I also used it to study for the 7 and it helped me immensely as well. Thank you!

Brian Lang, Denver, CO

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH