Series 66: Regulation Of Broker-Dealers

Taken from our Series 66 Online Guide

Regulation of Broker-Dealers

Most of the regulations discussed so far have pertained to investment advisers and their representatives. That’s because there’s a good chance you’ll be working in one of those capacities if you’re taking the Series 66. But as you’ll come to find out, not everyone who gives advice is an investment adviser or an investment adviser representative. The

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Jeremy and team, thank you for your excellent study materials and your availability to provide guidance and feedback as I was able to pass my Series 66 on the first try... The most telling confirmation your training materials are top notch... when I sat for my exam, once the test started and I read the first question, I instantly knew from my studies using the Solomon training, I was going to handle the test. Being able to sense this from the first question was more than comforting. Thank you again!

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