Series 63: 5.7.12.2 Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 63 Online Guide

5.7.12.2 Acting as Agent to Both Parties (Agency Cross Transactions)

An investment adviser must always work in the best interests of its clients. Naturally, it creates a conflict of interest when a firm represents both the buy and sell side of the same transaction, since to work in one person’s best interest is to potentially do harm to the other.

If a

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 5.7.12.2 Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 52 - MSRB Registration

Series 7 - 9.1.2.4 Order of Interest Rates

Series 65 - 3.1.4.4 Purchasing and Redeeming Mutual Fund Shares

Series 66 - 3.6.4.7.1 Units and Assumed Interest Rate (AIR)

Series 22 - 1.2.2.1. Publicly Traded Partnership (PTP)

Series 65 - 8.9.2. Net Capital Requirements of Broker-Dealers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 63 today with a score of 88%. I spent 3 hours every day for a week to study. I would highly recommend Solomon to anyone. Thank you Solomon. I couldn't do it without you.

John Nguyen, Transamerica Financial Advisors, Santa Ana, CA

Thanks to Solomon Test Prep, I passed the Series 79, 7, 63 and 82 exams. Your excellent software made all the difference!

Constantine Valhouli, New York, NY

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

I passed the 63 and 65 the practice questions are much more difficult than the actual exam. I would recommend this program to anyone who needs to be challenged and wants to pass the first time out.

David Lewis, Northwestern Mutual, New York, NY

Hard to believe but I never learned any English and with the help of Solomon exam prep I was able to pass the 82 and 63.

I’m so thankful to God.

Shulem Kahana, Eastern Union Funding, New York, NY

Even though there is no such thing as a guaranteed success in the securities industry, there is a likelihood of strong returns if you are able to make the right risk / reward choices at the right time.

If you are taking a test one of those choices is Solomon materials. Just follow their guidance. It worked for me, 3 times in a row, 7, 63, 24!

Eric Altmann, New York, NY