Series 65: Ban On Certain Third-Party Solicitors

Taken from our Series 65 Online Guide

Ban on Certain Third-Party Solicitors

The pay to play rule also prohibits investment advisers from paying any non-regulated persons for soliciting advisory business on their behalf. According to the rule, regulated persons are:

• Broker-dealers that are registered with the SEC and

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I used you guys when I sat for the Series 7 two weeks prior and passed that bad boy too. The Solomon books are awesome and allowed me to pass these challenging exams [Series 65 and Series 7] the first time. Highly recommended. Thank you.

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I took the exam three days after we spoke. I had to drive 75 miles to the test center. I finished the exam in a little under two hours and did not want to second guess myself in changing any of my answers. Upon completion of the exam, and subsequent grading I saw a 65 on the screen and I couldn't believe I did so poorly. However, the 65 I saw stood for the Series 65 not my grade and several lines below was my grade which was an 87. Thus I passed with a minimum amount of study looking over your online exam simulator. The questions were very similar to your review questions and I am sure that a candidate who reviews your questions and understands the application will have no problem passing the exam. Thanks for a great product.

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Andrea Rivera, ForUsAll. Salt Lake City, UT

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