Series 66: 9.4.5. Client Confidentiality

Taken from our Series 66 Online Guide

9.4.5. Client Confidentiality

Few things can screw up relationships like money. It can change people’s motivations, undermine their trust, and call into question their intentions. That’s why many clients are more apt to talk about their love life than their financial life.

To help protect client confidentiality, the NASAA places a high value

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 9.4.5. Client Confidentiality, you might also be interested in:

Series 65 - 2.15.2 Revenue Bonds

Series 6 - 2.2.8.2. Trading Authority

Series 51 - Prohibited Uses of Proprietary Information by Fiduciaries

Series 7 - 9.4.2.2. Support and Resistance

Series 65 - Code of Ethics and Access Persons

Series 24 - 3.5.1.6. Prohibited Mutual Fund Practices

Series 65 - 5.1.3.1.2.2. Estate Plans: Trusts vs. Wills

Series 66 - Unethical Trading Practices

Series 27 - Interest and Service Charges

Series 66 - Notice Filings

Series 79 - 11.2.2. Identifying Preferred Transaction Structures

Series 65 - Revenue Bonds

Series 65 - 2.4.1 Warrants

Series 65 - Theories of Portfolio Management

Series 6 - 1.3.3. Approval and Recordkeeping

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I purchased Solomon Exam Prep to get a leg up on the S66 exam. I had taken it a few times already missing it by 1-2 points. A friend of mine enrolled on the test site and passed it on the first try. We did share notes while she was studying. It was then I realized Solomon has something the other test prep companies did not have, which helped me get over the hump. I will recommend it to anyone who really want to pass it the first time up!

Dany H. First Command Norfolk, VA

I could not have passed without your study program Two secrets.... ipad2 and 1400 practice questions. Scored a 78. [Series 66]

Scott Harrison The Standard Woodland Hills, CA

I actually took the test (Series 66) in November and passed! I purchased the book and bought access to the online tests and found both invaluable. The book provided a good basis for knowledge, and taking the tests over and over gave me the logic of what the test writers were seeking.

Erik Cooper, Dallas, TX

I successfully passed the series 66 test yesterday! I could honestly say it was one of the happiest days of my life! I want to personally thank the excellent staff at Solomon exam prep! They are so knowledgeable and when I asked questions, they always went over the top with explanations and even sometimes creating charts for me to break down the concept. I felt really well served by this group. If you are looking for a company to help you succeed, you have found it Within Solomon exam prep team!

Shirley Antonini. Schuylkill Haven, PA

Very excited to pass the Series 66! The Solomon practice exams were very helpful to understand the concepts and fundamentals of the questions. I would highly recommend Solomon Exam Prep for all FINRA exams. Make sure to have a good grasp on agent registration and suitability when taking the 66. Thank you Solomon!

Blake Rossman, TrueWealth. Bellevue, WA

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA