Series 66: 9.4.11. Personal Outside Investment Accounts

Taken from our Series 66 Online Guide

9.4.11. Personal Outside Investment Accounts

Employees of member firms may not open investment accounts at other member firms or other financial institutions unless they receive prior written consent from their employing member firm. The employee must also notify the other financial institution of his association with the employing firm before opening the account.

The executing member fi

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 9.4.11. Personal Outside Investment Accounts, you might also be interested in:

Series 7 - Exercise

Series 82 - 3.2.5.1. Suitability

Series 66 - 2.4.16.2 Collateralized Mortgage Obligations

Series 65 - 8.10.3 Limits on Employment or Association

Series 22 - Communications Not Deemed a Prospectus

Series 65 - 3.2 Management Companies: Closed-End Funds

Series 52 - Limited Tax General Obligation Bonds

Series 53 - Closing Out an Undelivered Position

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

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

Passed 66 on the first try with flying colors. Solomon materials and advice was spot on. Follow it!

Craig Brand, Capital Financial Services, Nevis, MN

I used Solomon's Online Exam Simulator as a supplement to company provided materials for the Series 7 & 66, passing with scores of 86% & 88%. The online simulator made it easy to study on the go and provided peace of mind of preparedness walking in on test day. Highly recommended.

John Watlington, Merrill Lynch, Raleigh, NC

The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL

Hi Jeremy & Karen, I just passed my 66 today! I'm so thrilled! I had an interruption of my studies a few weeks back due to some distracting issues, but I got back on track, focused hard on the book, the practice quizzes and exams, and I made it! I'm a true believer in the value of your study materials. I'd recommend your firm's materials to anyone that wants to pass the first time they take these really challenging exams. Now I've got my Series 7 and my Series 66, and I did it with the terrific support of this Exam Prep. Thank you for these great study materials.

Howard Silverberg