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 24 - Credit Agreement

Series 24 - Breakpoints

Series 65 - First Market

Series 51 - Types of Underwritings/Offerings

Series 24 - 2.7.10.3. Fidelity Bonds

Series 65 - 5.3.4.5. Capital Goal Within Specified Time Period

Series 51 - Legibility Requirements for Disclosures

Series 82 - 2.1.1.7. Regulation S-P

Series 28 - Short Selling Rules

Series 63 - 3.1.3.1 Prospectus Delivery Requirements

Series 52 - Chapter 7 Practice Question Answers

Series 24 - 5.7.1.2.1. Trade Reporting

Series 66 - 1.2.2.4 Total Return

Series 63 - Broker-Dealers Operating within a Bank Setting

Series 53 - 5.5. Recordkeeping Responsibilities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Pass the 66 book/audio series, as well as the timely responses I received from the professor, all led to my success in passing the Series 66. This is a test that must be taken seriously, and does just that.

Jason Abbamonte, Charles Schwab, Naples, FL

The Series 66 Exam Prep offered by Solomon Exam Prep is exceptional. I used both the textbook and the exam simulator as my only study materials for the exam and passed with an 88. The Solomon material is written in a way which is easy to understand and digest. The exam simulator was excellent in preparing me with quizzes and full length practice tests to focus on my points on weakness and prepare me for the real thing! I would highly recommend both of these products to anyone!

Luke Bowes, Seymour, TN

I successfully passed the series 66 test yesterday! I could honestly say it was one of the happiest days of my life! I want to personally thank the excellent staff at Solomon exam prep! They are so knowledgeable and when I asked questions, they always went over the top with explanations and even sometimes creating charts for me to break down the concept. I felt really well served by this group. If you are looking for a company to help you succeed, you have found it Within Solomon exam prep team!

Shirley Antonini. Schuylkill Haven, PA

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

Arthur Almassy, Scottsdale, AZ

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

Karen and Team Solomon, thank you so much for all your support. Your Series 7 program was easy to understand. The "Ask the Professor" was invaluable for the Series 66. You are the program of choice for our office.

Kirk, PA