Series 65: Common Categories Of Investment Advisory Fraud

Taken from our Series 65 Online Guide

Common Categories of Investment Advisory Fraud

Fraud is an exceptionally broad concept that may show up in any part of a securities professional’s business. To avoid committing fraud, securities professionals and firms must remain honest in their dealings with clients and the public. Some common types of investment advisory fraud that have been prosecuted by the SEC are listed below (taken from an academic paper by Dimmi and Gerkin). These include:

• Direct theft. The a

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Common Categories Of Investment Advisory Fraud, you might also be interested in:

Series 65 - 3.7.4.13. Suitability

Series 65 - 6.4 Education Savings Plans

Series 65 - 10.11.13. Recommending Securities in Which the Professional Also Invests

Series 7 - 6.1.4.2. Board of Directors

Series 79 - Misrepresentation Based on Information Available to Purchaser at Time of Contract of Sale (Rule 159)

Series 24 - 5.6.2.1. Market Maker Registration

SIE - Memory Tricks for Orders

Series 65 - 2.8.4 Convertible Bonds

Series 79 - 9.5. Recordkeeping

Series 51 - Suitability and 529 Plans

Series 14 - 7.2.2. Sanctions Against Broker-Dealers

Series 24 - Prohibited Offers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 recently passed the Series 65 exam, really recommend this study material. I used other vendors before with no success; this is the best in the market. Thanks so much!

Mauricio Reyes. Boca Raton, FL

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

I learned the material quickly and passed the Series 65 with flying colors. It was fun to listen while driving, and it was easy to absorb the information—just like being taught by an entertaining young professor!

Chris McConnell, Adondo Corporation, Wayne, PA

I had my licenses but I let them lapse after I sold my firm. Now we're starting a new firm and I needed a refresher and studied your book and used the exam simulator. I passed the Series 65 and your materials were a big help. Now I am back for the Series 7 and I want your book, audio book and exam simulator. Thanks for an excellent product.

Jason Luquire Pawleys Island, SC

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

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 65: Common Categories Of Investment Advisory Fraud

Taken from our Series 65 Online Guide

Common Categories of Investment Advisory Fraud

Since you're reading about Series 65: Common Categories Of Investment Advisory Fraud, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →