Series 63: Acting As Agent To Both Parties (Agency Cross Transactions)

Taken from our Series 63 Online Guide

Acting as Agent to Both Parties (Agency Cross Transactions)

Underlying the very concept of being an investment adviser for a client is the idea that you are working in his or her best interest. Naturally, it creates a conflict of interest when you are representing both sides of a transaction (the buyer and the seller), since to work in one person’s best inte

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Acting As Agent To Both Parties (Agency Cross Transactions), you might also be interested in:

Series 50 - Types of Municipal Bonds

Series 24 - Electronic Delivery Requirements

Series 66 - 2.4.17.6. Certificates of Deposit (CDs)

Series 65 - 6.2.2.2 Defined Contribution Plans

Series 66 - 9.1.5. Investment Advisory Contracts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 63 yesterday. It's been over 30 years since I took the Bar Exam, so my knowledge of the Blue Sky laws was quite stale. Your "Pass the 63" training guide and exam simulator were godsends. The writing is remarkably clear and concise and delightfully engaging. They made even the most mind-numbingly complicated securities law topic understandable. Invaluable, thank you.

Paul T. Sheils, Newtown, PA

Your "Pass the 7" guide and practice questions helped my studying immensely, and I passed the exam the first time. I am currently using the "Pass the 63" guide and practice questions - the teaching style makes the learning experience much more interesting! I will definitely recommend your products to my friends and colleagues. Thank you so much!

Patrick Chen, Midtown Partners, New York, NY

Ok guys, there was ONE problem with the Series 63 study material that I purchased from you. The problem is that I should have purchased it sooner!!

Keith Kozubal, 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

I passed it (Series 63) yesterday, thanks for all the help, I couldn't have done it without Solomon.

Brandon Neff, Houston, TX

I used the one iPhone app for the 63 and found it a great help. I used it whilst watching TV, waiting for the car to be serviced, any spare few minutes I would practice a question or two.

Ben Humphries, Starlight Investments, Atlanta, GA