Series 63: 5.7.12.2 Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 63 Online Guide

5.7.12.2 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 a

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 5.7.12.2 Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 99 - 3.3.2.3 Commissions and Soft Dollars

Series 50 - Understanding Yield

Series 65 - Collateralized Mortgage Obligations

Series 65 - 4.2.2.1 Hedging With Protective Puts and Calls

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 paid for the best package (Series 63 Total Study Package), and it was well worth the money!! Would use it again!

Greg Hensley

I passed with flying colors. Made an 83. Your material is awesome. I could not have done it without it. The book is a great start and then the online exam simulator seals the deal. Thanks for all your help...and especially for jumping to my aid over the weekend.

David Latham, Butler Snow Advisory Services, Ridgeland, MS

I ordered the Series 63 material on 10/4 and sat for my exam today 10/15 and I passed....the exams are more challenging then the other vendors I used. This cleary helped me pass the exam. I'm about to order the 65 material

David Lewis, White Plains, NY

Thanks! I am thrilled. I took the Series 7 three years ago and have been putting off the Series 63 after I failed the first time. I used your book and iPhone app. I am recommending your materials to everyone in my office that needs to take the 63 in the near future. Of course you can use my email as a testimonial. Everything that people have said on the testimonials is 100% correct. The way the materials are written makes it much less of a chore to read and comprehend. Thanks for the follow up email!

Julia Smith, RBC Wealth Management

I used Solomon Exam prep for my series 63 and passed the first time with flying colors. I did have a couple questions on the real exam that seemed almost verbatim from their practice tests. The audio books were really helpful since I'm on the go a lot. Her voice was a little obnoxious, but helpful. There was a great mix of test questions for all the practice tests so I wasn't just memorizing the questions, but rather I was memorizing material. I'd use them again for any future test.

Krina

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

Series 63: 5.7.12.2 Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 63 Online Guide

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

Since you're reading about Series 63: 5.7.12.2 Acting As Agent To Both Parties (Agency Cross Transactions), 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 →