Series 7: 13.1.3 Restrictions On Sharing Accounts With Customers

Taken from our Series 7 Top-off Online Guide

13.1.3 Restrictions on Sharing Accounts with Customers

FINRA also prohibits member firms and associated persons from sharing directly or indirectly in the profits or losses in any customer account unless the following conditions apply: (1) The associated person obtains prior written consent from both the member firm and the custome

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 13.1.3 Restrictions On Sharing Accounts With Customers, you might also be interested in:

Series 7 - Chapter Nine

Series 7 - 3.3.2.2.3. Formulating the Bid: Bid Form and Issuer’s Acceptance

Series 7 - 7.1.2.1.1 High-Risk

Series 53 - Chapter Five

Series 79 - Going Private

Series 52 - 5.2. Analyzing Revenue Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN

I would not have passed the Series 7 top off without the Solomon materials. The structure of the questions was the closest out of all the programs I tried and their customer support is top notch. I will definitely be back! Thank you!!

Lauren J, Westlake, TX

Jeremy, I passed the Series 7 yesterday with an 87% using only your book and online practice tests. Thanks!

Aaron Johnson, Humble, TX

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

At Phillips & Co., my job was to hire entry level applicants who could successfully pass the Series 65 and Series 7 examinations in three months and do it the FIRST TIME. After trying Kaplan/Dearborn, STC, and even the Series 7 for Dummies, 85% of our applicants were still having a hard time passing.

One day while expressing my frustration to a colleague, he recommended I look up First Books' Exam Prep. I could tell immediately that this was a unique approach worth the investment. Since we implemented Exam Prep with new recruits our pass rate shot up to well over 90%.

If you or your employees want to pass your exam the first time without falling asleep while studying, I highly recommend you give their training program a try!

Kary Youman, Phillips & Co. Portland, Oregon

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

Series 7: 13.1.3 Restrictions On Sharing Accounts With Customers

Taken from our Series 7 Top-off Online Guide

13.1.3 Restrictions on Sharing Accounts with Customers

Since you're reading about Series 7: 13.1.3 Restrictions On Sharing Accounts With Customers, 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 →