Series 66: Common Categories Of Investment Advisory Fraud

Taken from our Series 66 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 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Common Categories Of Investment Advisory Fraud, you might also be interested in:

Series 79 - Chapter 12 Practice Question Answers

Series 51 - Supervisory Control Procedures

Series 65 - 6.1.3. Corporate, Trust, and Estate Income Tax Fundamentals

Series 24 - Order Routing

Series 27 - Delivery vs. Payment

Series 14 - 6.2.1. Private Placements: Regulation D

Series 6 - 8.2.2. Trade Confirmations

Series 7 - 8.2.9 Additional Fees

Series 14 - 3.2. Reporting Requirements

Series 24 - Going Short “Against the Box”

Series 24 - Spinning

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Hi Jeremy & Karen, I just passed my 66 today! I'm so thrilled! I had an interruption of my studies a few weeks back due to some distracting issues, but I got back on track, focused hard on the book, the practice quizzes and exams, and I made it! I'm a true believer in the value of your study materials. I'd recommend your firm's materials to anyone that wants to pass the first time they take these really challenging exams. Now I've got my Series 7 and my Series 66, and I did it with the terrific support of this Exam Prep. Thank you for these great study materials.

Howard Silverberg

I could not have passed [the Series 66] without your very comprehensive program. Thanks!

Arthur Almassy, Scottsdale, AZ

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

Your Pass the 7 and Pass the 66 training manuals were really well written and the generous dose of sarcasm was excellent. I would recommend your materials to anyone who needs to take these exams.

Jacob Clevenstine, Strategic Wealth Management Group, Madison, WI

Thank You. Thank You. Thank You. Having the audio, video lectures (with the printable power-point!) and exam simulator in addition to the book really engages you in the material. It becomes a game! I passed the 66 with an 84%.

Colleen Shelly, PNC Investments, Cleveland, OH

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

Series 66: Common Categories Of Investment Advisory Fraud

Taken from our Series 66 Online Guide

Common Categories of Investment Advisory Fraud

Since you're reading about Series 66: 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 →