Series 66: 7.10.4.2. Partners, Directors, And Managers Of Broker-Dealers

Taken from our Series 66 Online Guide

7.10.4.2. Partners, Directors, and Managers of Broker-Dealers

The Uniform Securities Act states that:

A partner, officer, or director of a broker-dealer or issuer, or a person occupying a similar status or performing similar functions, is an agent only if [that person] otherwise comes within this definition.

Explanation: If a partner, officer, or director of a firm does not effect securities transactions on behalf of the firm, then he is not an agent. If he does engage in agent acti

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 7.10.4.2. Partners, Directors, And Managers Of Broker-Dealers, you might also be interested in:

Series 79 - A.5.2. Preferred Stock

Series 24 - 4.2.8.1. Annual Report

Series 82 - Communications that Include a Recommendation

Series 65 - Diversification of Funds

Series 24 - 1.2.5.3. FINRA Licensing Examination Waivers

Series 51 - Chapter 1

Series 65 - Term Life Insurance

Series 24 - Restrictive Agreements

Series 3 - 4.1.1. Long Call

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

I passed the Series 79, 7, and 66 thanks to your study guides. I scored an 85, 81 and 82, respectively. The exam simulator was highly useful and great preparation. I glossed over material I knew and really prepped topics related to laws and ethics, which these study guides effectively described and tested. I highly recommend Solomon!

Sean M, New York, NY

So, on this exam [Series 66] I used both your material and Kaplan. mainly because the bank had already paid for kaplan and I had grown accustom to your laid back writing style along with a great mp3 version of the book. Anyway, I got a fair amount of questions from both the kaplan material and your material before taking the test. I have to say that your material matched more closely to the test than I ever would have expected. I will be coming back to Solomon exam prep for ALL of my exam prep needs. :-) Thanks!

Marshall Wolfe, Hopkinsville, KY

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

The Pass the 66 book/audio series, as well as the timely responses I received from the professor, all led to my success in passing the Series 66. This is a test that must be taken seriously, and does just that.

Jason Abbamonte, Charles Schwab, Naples, FL

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

Series 66: 7.10.4.2. Partners, Directors, And Managers Of Broker-Dealers

Taken from our Series 66 Online Guide

7.10.4.2. Partners, Directors, and Managers of Broker-Dealers

Since you're reading about Series 66: 7.10.4.2. Partners, Directors, And Managers Of Broker-Dealers, 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 →