Series 65: 8.10.3. Limits On Employment Or Association

Taken from our Series 65 Online Guide

8.10.3. Limits on Employment or Association

While the USA is more nebulous on the limits of employment and association with investment adviser representatives, it draws some clear lines in the sand for agents of broker-dealers. Specifically, there are two clear limits placed on employment or affiliation with a broker-dealer or issuer.

�

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 8.10.3. Limits On Employment Or Association, you might also be interested in:

SIE - 7.3.2.5.1. The Income Statement

Series 7 - Exercise

Series 24 - 2.7.6.1.2. Suitability Account Records

Series 79 - 3.1.1. Working Capital

Series 66 - S Corporations

Series 26 - UGMA and UTMA Accounts

Series 65 - Technical Analysis

Series 7 - 3.3.2.1.2 Continuing Disclosure Agreement

Series 79 - Valuation Analysis

Series 79 - 1.2.2.3. Operating Expenses and Operating Income

Series 28 - Units of Delivery for Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

Just wanted to let all of you know that I passed the 65 on 4/19/10. I got a 76%! Not the highest score, but good enough!!! Thank you so much for all your help. Your study materials (book, audio, and exam simulator) were instrumental in my passing this test the first time! I'll be sure to let any future test takers in my office know about your products! Thanks again!

Sandy Widmer, BGR Financial Group LLC, Tucson, AZ

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

I could not be happier with Solomon Exam Prep and I am so glad I found it. I had taken this test prior and wasn't able to pass. After utilizing the Total Study Package for the Series 65, including the book, audiobook, summary videos and practice tests, I felt very confident clicking the submit button at the end of the test. I would highly recommend Solomon Exam Prep to pass your upcoming test.

Dane Urista, Vincent Asset Management, Eden Prairie, MN

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 from author/owner Jeremy Solomon and he 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 Gallagher, TIAA, Syracuse, New York

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65