Series 65: 10.9.6 Compensation Disclosures

Taken from our Series 65 Online Guide

10.9.6 Compensation Disclosures

One thing to keep in mind regarding the Series 65 exam is that a good general principle to go by is “Disclose, disclose, disclose.” That principle applies to compensation arrangements for all securities professionals. For investment advisers and investment adviser representatives, any fees charged, as well as the

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.9.6 Compensation Disclosures, you might also be interested in:

Series 82 - 3.2.1.2. Non-Voting Common Stock

Series 82 - Mortgage Bonds

Series 7 - 18.4.2.1. Code of Arbitration

Series 24 - 3.4.1. Customer Trade Confirmations and Completing a Transaction

Series 26 - Part C: Other Information

Series 63 - Introduction

Series 66 - Money Market Funds

Series 27 - Alternative Methodology

Series 14 - 5.2.2. Reporting Behavior Violations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

Very good material and well planned to help you pass the first time (Series 65). The audio tape structure is easy to listen to along with the reading material. Clear and to the point. Nothing dry about your material. Thank you. Highly recommend.

Carlos Acosta, GoldBox Wealth, San Antonio, TX

I learned the material quickly and passed the Series 65 with flying colors. It was fun to listen while driving, and it was easy to absorb the information—just like being taught by an entertaining young professor!

Chris McConnell, Adondo Corporation, Wayne, PA

I used Solomon to prep for my Series 65 exam. I was extremely impressed with how prepared I was for the actual exam! After reviewing the chapter material and taking 7-10 quizzes for each chapter, I was scoring around a 75 average on the practice exams, I wasn't sure that would be enough to pass. However, on exam day I felt extremely confident with the material, and I passed the 65 on my first attempt with about 45 minutes to spare. Extremely satisfied with how Solomon teaches the material to truly make it stick, and also with the progress statistics that they show you, so you know what to work on. I would 100% recommend it to anyone trying to pass their Series exams!

Landry Mead, Goldman Sachs Ayco Personal Financial Management. Dallas, TX

Just wanted you to know, I passed the Series 65 exam on the first attempt. Your book was easy and enjoyable to read, all of the important information was very well explained. But I found your online quizzes and exams extremely helpful in getting the material entrenched in my memory. I was very comfortable with the format and wording of the questions on the actual exam after drilling with your online program. Thank you for enabling me to move to the next level of my career.

Robert Rosenbaum, Sarasota, FL

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!