Series 65: Regulation Of Agents Of Broker-Dealers And Agents Of Issuers

Taken from our Series 65 Online Guide

Regulation of Agents of Broker-Dealers and Agents of Issuers

An agent has a nearly identical relationship to a broker-dealer or issuer of securities that an investment adviser representative (IAR) has to the investment advisory firm that employs him. This means that an agent is essentially the “pe

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I passed the Series 65 exam on my first attempt. Your practice exams really helped. Thanks again.

Colin Tucker, Little Rock, AR

Thank you Solomon! I passed the Series 65 today on the 1st attempt. Same result as on the Series 63 I passed last year. The Solomon video lectures and exam simulator was awesome. It not only helped pass the test but helped me really understand all the material.

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Cornell Capital Management

David Hartzell, Cornell Capital Management, New York

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Jeff

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Jeff Dampf