Series 66: 7.10.3 Limits On Employment Or Association

Taken from our Series 66 Online Guide

7.10.3 Limits on Employment or Association

While the USA is more nebulous on the limits of employment and association with investment adviser representatives, it draws some clear lines in the sand for agents of broker-dealers. Specifically, there are two clear limits placed on employment or affiliation with

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 7.10.3 Limits On Employment Or Association, you might also be interested in:

Series 3 - 2.2.2.1.1. Direct Hedge

Series 66 - Regulation of Agents of Broker-Dealers and Agents of Issuers

Series 79 - Derivatives and Structured Products

Series 79 - 2.7. Capital Structures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I actually took the test (Series 66) in November and passed! I purchased the book and bought access to the online tests and found both invaluable. The book provided a good basis for knowledge, and taking the tests over and over gave me the logic of what the test writers were seeking.

Erik Cooper, Dallas, TX

I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent.

William Crull, Metairie, LA

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

I could not have passed without your study program Two secrets.... ipad2 and 1400 practice questions. Scored a 78. [Series 66]

Scott Harrison The Standard Woodland Hills, CA

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

I purchased Solomon Exam Prep to get a leg up on the S66 exam. I had taken it a few times already missing it by 1-2 points. A friend of mine enrolled on the test site and passed it on the first try. We did share notes while she was studying. It was then I realized Solomon has something the other test prep companies did not have, which helped me get over the hump. I will recommend it to anyone who really want to pass it the first time up!

Dany H. First Command Norfolk, VA