Series 65: 10.11.11. Personal Outside Investment Accounts

Taken from our Series 65 Online Guide

10.11.11. 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 f

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.11. Personal Outside Investment Accounts, you might also be interested in:

Series 65 - Exercise

Series 7 - 12.2.1.3 Post-Effective Period

Series 52 - 8.4.1.1. SEC Financial Responsibility Rules

Series 79 - The Markets: Stock Exchanges

Series 51 - Chapter 1 Practice Questions

Series 66 - 4.3.2.2. Semi-Strong Form Efficient Market Hypothesis

Series 26 - Purchases from Securities-Related Issuers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the test [the Series 65] with flying colors. Your study material, particularly the book and the online exams were the difference maker. Other individuals in my firm used exam prep courses from other companies and unfortunately did not pass the exam. I am confident in saying that these materials were the difference maker. Thank you for creating such a great product. Everyone in my firm will use your simulators going forward.

Chris T. Chambers, Senior Partner, My Harvest Field, Inc., Clearwater, FL

Hi Jeremy, I passed! Thanks for all your hard work and support to help me get through the Series 65! I went from scoring a 65 [using a competitor's material] to a 79 percent [with your Exam Prep]. I felt your material covered the exam perfectly. I went out of my way of actually learning instead memorizing. I used the book and the audio book as well as your online test prep. I am glad that is over with! Thanks again, best wishes to you as well.

Bryce Lindley, Sisters, Oregon

Very good material and well planned to help you pass the first time (Series 65). The audio tape structure is easy to listen to along with the reading material. Clear and to the point. Nothing dry about your material. Thank you. Highly recommend.

Carlos Acosta, GoldBox Wealth, San Antonio, TX

At Phillips & Co., my job was to hire entry level applicants who could successfully pass the Series 65 and Series 7 examinations in three months and do it the FIRST TIME. After trying Kaplan/Dearborn, STC, and even the Series 7 for Dummies, 85% of our applicants were still having a hard time passing.

One day while expressing my frustration to a colleague, he recommended I look up First Books' Exam Prep. I could tell immediately that this was a unique approach worth the investment. Since we implemented Exam Prep with new recruits our pass rate shot up to well over 90%.

If you or your employees want to pass your exam the first time without falling asleep while studying, I highly recommend you give their training program a try!

Kary Youman, Phillips & Co. Portland, Oregon

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

Passed Series 65 (80%) on first attempt. THANK YOU, Solomon Exam Prep and all of your VERY helpful and courteous staff! Will be back for next two exams.

James M., Fort Lauderdale, FL