Series 66: Prospectus Rules

Taken from our Series 66 Online Guide

Prospectus Rules

Because mutual fund shares are issued new for each purchaser, all must be sold with a prospectus. In addition, new issues of closed-end funds must be sold with a prospectus. The prospectus must be delivered by the confirmation of the transaction, which usually means settlement. The SEC does not permit prospectuses that are in use for more than 9 months to have financial information in them that is more than 16 months old.

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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!

Pablo Serna, Silicon Valley Bank, Menlo Park, CA

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Marshall Wolfe, Hopkinsville, KY

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Julio Revuelta, Wealth Management Firm, Miami, FL

Hi Jeremy & Karen, I just passed my 66 today! I'm so thrilled! I had an interruption of my studies a few weeks back due to some distracting issues, but I got back on track, focused hard on the book, the practice quizzes and exams, and I made it! I'm a true believer in the value of your study materials. I'd recommend your firm's materials to anyone that wants to pass the first time they take these really challenging exams. Now I've got my Series 7 and my Series 66, and I did it with the terrific support of this Exam Prep. Thank you for these great study materials.

Howard Silverberg

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John Watlington, Merrill Lynch, Raleigh, NC

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS