Series 65: 10.11.16.9. Recordkeeping Requirements

Taken from our Series 65 Online Guide

10.11.16.9. Recordkeeping Requirements

Investment advisers must maintain records of political contributions made to governmental entities and officials of these entities. These records must include a list of:

• The contributors and recipients, and the amounts and dates of the contributions or payments

• Names, addresses, and titles of the adviser’s covered associates

• Gove

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.16.9. Recordkeeping Requirements, you might also be interested in:

Series 65 - Exercise

Series 14 - 7.3.2.3. Research Analysts

Series 65 - 4.1.7.4.3. Expiration

Series 6 - 1.3.2.4. Sales Literature Deemed Misleading

Series 53 - Disclosure Requirements for Control Relationships

Series 24 - Dealers

Series 50 - CMO Structures

Series 24 - 5.14.6. Splitting Orders or Executions for Personal Gain

SIE - SEC Rule 144: Resales of Restricted and Control Securities

Series 24 - 2.6.6.4. FinCEN Records and Reports

Series 65 - Acting as Agent to Both Parties (Agency Cross Transactions)

Series 65 - Combination: Straddles

Series 26 - Amended BD (as appropriate)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I thought the study material from Solomon Exam Prep was great. It helped me focus on the sections where I needed to study the most. I passed with an 81% on my first try for the Series 65 exam. I would definitely use Solomon Exam Prep again if I need to get any more licenses.

Michael, Portland, OR

I finally passed the Series 65! I’m writing today to send you a very sincere Thank you for all the professional support and emotional guidance you have provided. I was emotionally beat up and almost ready to give in on my endeavor of passing the Series 65 and becoming an Investment Advisor Firm. After becoming unemployed and having a tremendous time focusing on the study material, you provided additional months and material access for no additional Fee! You also mentioned I should be able to teach the material and then I’ll be ready for the exam. By the gracious caring and professional sharing of your wisdom, it provided me to find my path to passing the Series 65! The three items that really helped was to Study like I’m going to teach it, memorizing and learn by over studying, and getting plenty of sleep and rest. Thank you to you, your family, and pro team for all you have done. I am very blessed and humbled to have met you all in this challenging time of my life. Happy Holidays, and Have a Safe and Happy New Year!

Michael Jones. Kansas City, MO

I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO

I want to thank Solomon Prep for helping me to pass the Series 65.

Nelson Coleman, Saint Louis, MO

Hi Jeremy, I passed! Thanks for all your hard work and support to help me get through the Series 65! I went from scoring a 65 [using a competitor's material] to a 79 percent [with your Exam Prep]. I felt your material covered the exam perfectly. I went out of my way of actually learning instead memorizing. I used the book and the audio book as well as your online test prep. I am glad that is over with! Thanks again, best wishes to you as well.

Bryce Lindley, Sisters, Oregon

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY