Series 66: Common Categories Of Investment Advisory Fraud

Taken from our Series 66 Online Guide

Common Categories of Investment Advisory Fraud

Fraud is an exceptionally broad concept that may show up in any part of a securities professional’s business. To avoid committing fraud, securities professionals and firms must remain honest in their dealings with clients and the public. Some common types of investment advisory fraud that have been prosecuted by the SEC are listed below (taken from an academic paper by Dimmi and Gerkin). These include:

• Direct theft—The a

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Common Categories Of Investment Advisory Fraud, you might also be interested in:

Series 7 - 13.2 Reporting Requirements

Series 24 - Combined Positions in Margin Accounts

Series 7 - 10.4.4 Investment Goals

Series 7 - 9.4.1.1 The Income Statement

Series 24 - 5.14.11. Best Execution and Interpositioning

Series 66 - High-Risk DPPs

Series 51 - Enforcement Agencies

Series 99 - 1.2.1.1 Know Your Customer (KYC) Rule

Series 65 - Benefits and Risks of Derivatives

Series 82 - 1.2.1.8. Regulation FD

Series 24 - 1.2.2.6. SIPC Membership

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

Passed 66 on the first try with flying colors. Solomon materials and advice was spot on. Follow it!

Craig Brand, Capital Financial Services, Nevis, MN

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

Your Pass the 7 and Pass the 66 training manuals were really well written and the generous dose of sarcasm was excellent. I would recommend your materials to anyone who needs to take these exams.

Jacob Clevenstine, Strategic Wealth Management Group, Madison, WI

I purchased Solomon Exam Prep to get a leg up on the S66 exam. I had taken it a few times already missing it by 1-2 points. A friend of mine enrolled on the test site and passed it on the first try. We did share notes while she was studying. It was then I realized Solomon has something the other test prep companies did not have, which helped me get over the hump. I will recommend it to anyone who really want to pass it the first time up!

Dany H. First Command Norfolk, VA

The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL