Series 63: 2.3.1.3. Limits On Employment Or Association

Taken from our Series 63 Online Guide

2.3.1.3. Limits on Employment or Association

While the USA is more nebulous on the limits of employment and association when it comes to 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 a broker-dealer or iss

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 2.3.1.3. Limits On Employment Or Association, you might also be interested in:

Series 66 - Buy and Sell Orders

Series 65 - 2.4.1. Warrants

Series 53 - Units of Delivery

Series 65 - Exercise

Series 82 - Exchange of Securities

Series 27 - Active Military Service

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

My thanks to everyone at Solomon for their commitment to my success in passing Series 63. Karen Solomon was always quick to respond to me, advise me and clarify material for me. I had great take away from Bob Pisani's class and I know his presentation influenced my exam score of 83!

Mary Sutter

I passed the 79 and 63 - both on the first attempt - thanks to Solomon Exam Prep. The quiz/simulator questions were very similar to the actual exam. Additionally, I was impressed by how quickly I received responses when I used the "Ask the Professor" feature.

Alexander W, IL

The products and support provided by Solomon Exam Prep was exactly what I needed to pass my Series 63 the first time. The reading materials where actually enjoyable due in part to easy to understand explanations. Unlike most of the competitors offerings which are perfect for insomniacs, these materials are engaging and the test questions are harder than I experienced on the exam. Additionally, the on-line testing simulator is a fabulous addition to the package. Not only do you have an opportunity to take a self paced approach but also as you come to the final days of prep, there is a timed environment that helps you establish a pace that is a real plus on exam day. The real-time support when I had a question or concern was the last extraordinary plus of this packaged solution. I received responses if not in minutes certainly within the day. I recommend these products to all of my associates and to you.

David Vande Casteele, Managing Director, John Davenport & Associates LLC

Your exam prep is the best! Passed both the 6 and 63 using Solomon and I recommend it to everyone.

Karen, Colorado Springs, CO

Ok guys, there was ONE problem with the Series 63 study material that I purchased from you. The problem is that I should have purchased it sooner!!

Keith Kozubal, Englewood, CO

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA