Series 65: 10.11.12 Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 65 Online Guide

10.11.12 Acting as Agent to Both Parties (Agency Cross Transactions)

An investment adviser must always work in the best interests of its clients. Naturally, it creates a conflict of interest when a firm represents both the buy and sell side of the same transaction, since to work in one person’s best interest is to potentially do harm to the other.

If an investment ad

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.12 Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 65 - 7.2.1.2.2 Short Positions in Margin Accounts

Series 52 - 3.6.41 Rule G-42—Duties of Non-Solicitor Municipal Advisors

SIE - Inflation and Interest Rates

Series 66 - No Bundling

Series 3 - 7.6. Regulatory Enforcement

Series 66 - Unsystematic Risks

Series 51 - Monitoring Written Correspondence

Series 53 - Definitions

Series 53 - 6.3.1.5. Put Options and Repurchase Agreements

Series 53 - Rule G-17—Prohibition of Fraudulent Conduct

Series 63 - 5.1.3 12b-1 Fees

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY

I passed the Series 65 today. Thanks so much. The Series 65 Exam Simulator and the iPhone app were my only study instruments. I didn't have any other study materials. Granted, I know that you encouraged me to not use the exam simulator as my sole source, but I found your practice tests to be more difficult than the actual exam. I had taken the series 65 in 1994, but it is a different test now. I received an 89%, finished 55 minutes early. I just took your exam simulator tests over and over. Funny thing, I was getting in the 75% range on your exams. Never broke 80%. Great apps! I really appreciate your generosity in extending my subscription to complete my prep. You are a good man. Thank you.

Daniel Q. Humphrey, Financial Guard, Pleasant Grove, Utah

I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!

Ashley

I just wanted to let you know I took the Series 65(85), Series 63(90) and Series 7(90) and am pleased as can be with your guides and practice materials. Not only do they contain the facts that are needed to pass the exams, but are actually presented in a format that you are still interested and awake by the time you get there! Really brilliant instructions.

Michael, CPA, Registered Representative

The material and website were very well organized and thorough. I felt I was prepared for the actual, real test when I took it because I had gone through their range of questions with all the practice tests that I could do on their website, covering every topic, approached with different angles.

Stacey Sperry, Durham, NC