Series 65: No Bundling

Taken from our Series 65 Online Guide

No Bundling

Investment advisers and their covered associates may not coordinate any contributions to an official who can direct advisory business to the firm. This is often called “bundling.” Additionally, the rule states that no investment adviser shall solicit any person or PAC to make any contribution or payment to an official who can direct advisory business to the firm.

Example Question 1

You are working as a covered associate and you live in an area that allows you to vote for an official who can direct business to your firm. You go door to door

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: No Bundling, you might also be interested in:

Series 50 - SEC Guidance on Advice

Series 51 - Rule G-30—Prices and Commissions Must Be Fair

Series 65 - Systematic and Unsystematic Risk

Series 28 - Undue Concentration

Series 66 - 3.6. Annuities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I am 73 years old and have been retired for 5 years. My fulfilling career of 38 years was mainly as a portfolio manager in a trust setting. A good friend of mine recently started an RIA and asked me to consider coming to work for him. Since I loved my job and retirement is boring in comparison, the decision to jump back in was rather easy. You know the old saying: if you love what you do, you will never work a day in your life. But yes, I must first pass Series 65. The study materials and whole program you have constructed are excellent. I read the phone-book sized reading materials and took many practice exams on the website. Just this morning I sat for the test and passed. Hooray!! I am convinced that your test preparation process made the exam seem easy. So I will recommend to anyone preparing for a securities exam to definitely consider getting your program. Thanks again for your outstanding program and guidance."

Rick Hinchberger Dover Advisors LLC

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA