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 24 - Regulation X

Series 99 - 1.2.2.10.1 Tax-Qualified Plans

Series 82 - 3.3.4.5. Convertible Bonds

Series 66 - 2.5.2.1.1 Basic Charts and Patterns

Series 52 - 6.3.4. Ordinary Income vs. Capital Gains

Series 26 - Annual Amendments to Registration Statement

Series 7 - 3.6.31 Rule G-31—Reciprocal Dealings Prohibited

Series 65 - 2.12. Asset-Backed and Mortgage-Backed Securities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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.

I ordered the Series 63 material on 10/4 and sat for my exam today 10/15 and I passed....the exams are more challenging then the other vendors I used. This cleary helped me pass the exam. I'm about to order the 65 material

David Lewis, White Plains, NY

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

After using other exam preps, I settled on Solomon. This material was spot on! If you follow the study guides, read the chapters, watch the videos and listen to the audio, you will pass!! Good Luck! Thank you Solomon!

Celeste Gullo, Allstate Insurance, Glen Head, NY

I used Solomon for the 63 and the 65 and PASSED both on 1st try. U will too.

Pavel Jezek, Denver, CO

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

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 →