Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Answer yes or no—Has the agent been properly supervised?

1. _____ An agent of a broker-dealer commits securities fraud; however, the broker-dealer has an appropriate supervisory system in place.

2. _____ An agent of a broker-dealer has a spotless record on all transactions she has effected, but she has not attended a compliance meeting in the past 18 months.

3. _____ A firm has a set of procedures, each of which follows FINRA and SEC guidelines, yet those procedures have not been put in writing.

Answers

1. Yes. So long as a

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Exercise, you might also be interested in:

Series 6 - Exercise

Series 24 - Carrying Firms

Series 24 - Prohibition on Guaranteeing Customers Against Loss

Series 66 - Ban On Certain Third-Party Solicitors

Series 65 - 2.4. Warrants and Rights

Series 79 - 4.5.3. Accretion/Dilution Analysis

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I could not be happier with Solomon Exam Prep and I am so glad I found it. I had taken this test prior and wasn't able to pass. After utilizing the Total Study Package for the Series 65, including the book, audiobook, summary videos and practice tests, I felt very confident clicking the submit button at the end of the test. I would highly recommend Solomon Exam Prep to pass your upcoming test.

Dane Urista, Vincent Asset Management, Eden Prairie, MN

The audio book was fantastic, and I passed the Series 65 on my first attempt. Thank you!

Steve O'Dell, Merrill Lynch, Westchester, NY

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA

Solomon Exam Prep material was great. Explained in a way that is easy to learn and follow. Test questions really help the material sink in. I had failed the Series 66 twice using another service. When it came time to find new material for the Series 65 and Series 63 Solomon was it. I passed both the 65 & 63 with flying colors and I have Solomon to thank for that.

Jeff Champigny, Merrill Lynch, Greensboro, NC

I learned the material quickly and passed the Series 65 with flying colors. It was fun to listen while driving, and it was easy to absorb the information—just like being taught by an entertaining young professor!

Chris McConnell, Adondo Corporation, Wayne, PA

I just passed my Series 65 exam yesterday!! Your study material was awesome! Unfortunately, they only provided pass/fail and no specific grade because I wanted to know how well I did. Thanks so much!

Cheryl Fluker, Members Advisory Group, Williamsville, NY