Series 63: Common Categories Of Investment Advisory Fraud

Taken from our Series 63 Online Guide

Common Categories of Investment Advisory Fraud

Fraud is an exceptionally broad concept that may show up in any part of a securities professional’s business. To avoid committing fraud, securities professionals and firms must remain honest in their dealings with clients and the public. Some common types of investment advisory fraud that have been prosecuted by the SEC are listed below (taken from an academic paper by Dimmi and Gerkin). These include:

• Direct theft—The a

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Common Categories Of Investment Advisory Fraud, you might also be interested in:

Series 6 - Exercise

Series 79 - 3.1.4. Debt/Equity and Debt/Capital Ratios

Series 65 - 4.1.7.1. American vs. European Options

Series 27 - Six-Year Minimum

Series 24 - Review Account Activity and Disclosures

Series 51 - Exercise

Series 24 - 5.9.3. Other Reporting Systems

Series 7 - 18.1.2. Securities Exchange Act of 1934

Series 63 - 2.1.2.5 Post-Registration Requirements

Series 53 - Telemarketing Rules

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The manuals make the process of wading through all the material much more enjoyable. Ordinarily, this stuff would not be entertaining to study, but even a serious person like me could be heard laughing out loud occasionally. The on-line testing was very convenient, and being able to refer back to the missed questions was very helpful. Best of all, I passed both the 6 and 63 on the first attempt!

Blaine Burnett, Cascade Financial Advocates, Portland, OR

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

I passed the Series 63 on the first try. You now have a loyal customer in me. Using Solomon is probably the closest exam success guarantee you could possibly get. Thanks, your exam prep was worth every penny. I would recommend your exam prep to anyone and if I ever have a take another Series exam. I will only be using Solomon exam prep.

Joseph Boswell, FFA. Riverview, FL

The material was great and helped me pass the 63. I also used it to study for the 7 and it helped me immensely as well. Thank you!

Brian Lang, Denver, CO

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

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

Series 63: Common Categories Of Investment Advisory Fraud

Taken from our Series 63 Online Guide

Common Categories of Investment Advisory Fraud

Since you're reading about Series 63: Common Categories Of Investment Advisory Fraud, 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 →