Series 65: Appendix C: New Investment Adviser Marketing Rule

Taken from our Series 65 Online Guide

Appendix C

New Investment Adviser Marketing Rule

Unless you were born into a well-connected family, clients won’t just fall into your lap. You’re going to have to advertise yourself to make a living. The SEC's Marketing Rule sets the standards for federal covered advisers' marketing communications.

SEC Rule 206(4)-1

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Appendix C: New Investment Adviser Marketing Rule, you might also be interested in:

Series 3 - 7.5. Regulation of Commodity Trading Advisors

Series 6 - 1.3.2.3. Supplemental Sales Literature

Series 50 - Analyzing the Credit and Debt of General Obligation Bonds

Series 28 - Special Purpose Credit

Series 65 - Municipal Bonds

Series 7 - 3.3.3.1 Initiating the Sale

Series 82 - Filing a Private Placement with FINRA

Series 27 - Designation of Accounts

Series 52 - Rule G-28—Transactions with Other Broker-Dealers

Series 14 - 9.3.6. Non-Interference with the Content of Research Reports

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you Solomon, 87% on the series 65. I thought I was nervous showing up to the exam, but the material was well above par. thanks again

Matt Callahan

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

I took the Series 65 Exam and passed with a good score. Thank you for all the materials. I did have to put a lot of study time into it but with hard work, your materials and prayer I passed!

Carla Martinez, GoodFuture, Laguna Beach, CA

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA

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

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

Series 65: Appendix C: New Investment Adviser Marketing Rule

Taken from our Series 65 Online Guide

Since you're reading about Series 65: Appendix C: New Investment Adviser Marketing Rule, 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 →