Series 63: Limits On Employment Or Association

Taken from our Series 63 Online Guide

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 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Limits On Employment Or Association, you might also be interested in:

Series 14 - 4.1.3. Net Capital Requirements for Different Types of Firms

Series 50 - Yield to Maturity

Series 24 - 5.14.11. Best Execution and Interpositioning

Series 3 - 1.3.5.2. Speculation

SIE - Stop Orders

Series 65 - Section Two

Series 66 - 1.1.1.3. Earnings Before Taxes

Series 53 - Chapter 4: Primary Offerings and Syndicate Practices

Series 7 - 3.3.2.2. Pricing by Competitive Bid

Series 50 - Yield to Put

Series 65 - 2.12.1.1. Government-Sponsored Enterprises (GSEs)

SIE - 7.5.1. Balance of Payments

Series 24 - No Payment for Market Making Allowed

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

Based on our results since adopting the Exam Prep Series 6 and Series 63 training program, I decided to try out the Exam Prep's pre-licensing program for the New York State Life, Accident and Health license exam. The material is comprehensive, clear and easy to understand, and I am getting positive feedback from my students. We're looking forward to increasing our first-time insurance exam pass rates with , like we did with securities licensing training.

Jim Sugrue, Development Manager, New York Life

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 another exam prep for my series 6, failed it. Then came across Solomon Exam Prep. I passed series 6 once and just passed series 63 yesterday. Thanks for a great material.

Toyin Daranijoh, Primerica, Kalamazoo, MI

I took 2500+ questions in your simulator and I passed the Series 63 on my first attempt. Your practice exams are fantastic!!!!!

Pavel Jezek, Denver, CO

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

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

Series 63: Limits On Employment Or Association

Taken from our Series 63 Online Guide

Limits on Employment or Association

Since you're reading about Series 63: Limits On Employment Or Association, 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 →