Series 63: 5.7.13.2. Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 63 Online Guide

5.7.13.2. 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 an investment advi

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 5.7.13.2. Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 66 - Treasury Bills

Series 53 - Early Redemption of Municipal Bonds

SIE - Convertible Debentures

Series 65 - 1.1.2.2 Yield Curves

Series 14 - 9.3. Privacy Disclosures

Series 63 - Exercise

Series 65 - 3.7.2 Equity-Indexed Annuities

Series 79 - 3.5.5.1. Expected Rate of Return

Series 82 - Common Stock Shareholder Rights

Series 7 - 2.10.4 Eurobonds and Eurodollar Bonds

Series 66 - 8.1.2. Registration of Securities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the 6 and 63. I passed the 6 with a 90% and the 63 with an 87%. I used the test simulator for both and it was a tremendous help. I was actually studying using a different book and I wasn't getting enough info. The Test Simulator was key. It threw the questions at me in a different way which was similar to the actual test. I don't think I would have passed without it. THANKS!

Idette Campos, Licensed Personal Banker & Small Business Specialist, JP Morgan Chase, Chula Vista, CA

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

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 was my ticket to a passing grade the first time on both exams [Series 79 and Series 63]!

Laura Bumgarner, Houston, Texas

This is my fourth time using Solomon's exam materials (Series 99, 7, 63, and now the 24)....and I PASSED once again on my first try. Thank you Solomon- your exam question simulator was extremely helpful!

Kim Schmidt, Elmcore Securities, Las Vegas

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

Series 63: 5.7.13.2. Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 63 Online Guide

5.7.13.2. Acting as Agent to Both Parties (Agency Cross Transactions)

Since you're reading about Series 63: 5.7.13.2. Acting As Agent To Both Parties (Agency Cross Transactions), 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 →