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 - 17.3.1.1 Electronic Communications Networks

Series 53 - Automated Trade Comparison

Series 6 - 5.1.2.4. Money Market Funds

Series 65 - Repurchase Agreements

Series 79 - The Life Cycle of a Public Offering (Section 5)

Series 3 - 5.2. Hedging with Combinations

Series 52 - 7.3. Factors Influencing the Economy

Series 14 - 7.3.1.3. Required Number of Principals and Roles Requiring a Designated Principal

Series 66 - C.1 Definition of an Advertisement

Series 82 - 3.4.3.1.2. Interest Rate Risk

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

The series 7 quizzes were what made the study material the best. I just passed the series 7, it was my second time with Solomon. I Passed the SIE first attempt with their study material and it took me until the second attempt to pass the series 7 with their study material. The unlimited practice quizzes was what helped me pass. What an exciting day! I will be using them for the next 63 or 66!

Patrick Deal, Cape Securities. Frisco, TX

Just passed the Series 7 on the first attempt! Many questions on the FINRA exam forced me to consider scenarios from a different perspective, and the conceptual understanding the Solomon materials and study plan facilitated allowed me to apply my knowledge appropriately. If I need another license in the future, I'll rely on Solomon to help me prepare.

Dave Stakland Cambridge Investment Research Fairfield, IA

Used Solomon for my second & third time. First time I used a different company & day of test, I had no idea what I was reading. Second time, I bought Solomon a little too close to my test date, failed but had a higher score. Third Time, used strictly Solomon & passed! Cant thank Solomon enough, will recommend to everyone!

Ashley F, Citi. New York, NY