Series 65: Prohibited Mutual Fund Practices

Taken from our Series 65 Online Guide

Prohibited Mutual Fund Practices

Breakpoint sales. Because breakpoints can be confusing to investors, registered representatives should help their clients understand and take advantage of breakpoints. If the investor is a few dollars shy of a breakpoint, the representative should advise the investor of this, even if it means the commission is reduced. When a rep fails to do this and sells a mutual fund to a client in an amount

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Prohibited Mutual Fund Practices, you might also be interested in:

Series 50 - Fiscal Policy

Series 66 - 4.2.4.5 Tax Situation

Series 65 - Performance Guarantees

Series 50 - Tax Issues for Special Purpose Bonds

Series 50 - Basic Concepts for Taxing Municipal Bonds

Series 99 - 2.1.2.1 Account Statement: Required Information

Series 66 - Advisory Accounts

Series 7 - 6.1.1. Structure of Mutual Funds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

I passed the series 65! I used the Solomon exam prep Material to take the series 65. I had previously used the Kaplan material and did not find the materials to be that good. The book, audio tape and exam question bank were amazing. It was hard to go to the center wearing a mask during this Coronavirus time period. I don’t think I would’ve passed this Series 65 without Solomon. Thank you

Gail Abrams, The Investment Center, Inc. Watchung, NJ

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

I just wanted to let you know I took the Series 65(85), Series 63(90) and Series 7(90) and am pleased as can be with your guides and practice materials. Not only do they contain the facts that are needed to pass the exams, but are actually presented in a format that you are still interested and awake by the time you get there! Really brilliant instructions.

Michael, CPA, Registered Representative

I'm an auditory learner. Ordering the audio files was most helpful and I passed today with no worries.

Michael Freemire, Cambridge Advisors, Englewood, CO

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