Series 66: Limits On Employment Or Association

Taken from our Series 66 Online Guide

Limits on Employment or Association

While the USA is more nebulous on the limits of employment and association with investment adviser representatives, it draws some clear lines in the sand for agents of broker-dealers. Specifically, there are two clear limits placed on employment or affiliation with a broker-dealer or issuer.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Limits On Employment Or Association, you might also be interested in:

Series 6 - 4.2.14.2. Revenue Bonds

Series 66 - Total Return

Series 53 - VRDO Reporting and Disclosure Requirements

Series 53 - Brokers and Dealers

Series 79 - Depository Receipts and Global Depository Shares

Series 65 - Callable Preferred Stock

Series 28 - Closing an Underwriting Syndicate

Series 52 - 9.2. Uniform Practice Code

Series 50 - Statement of Net Assets

Series 65 - 5.3.4.6.2 Calls

Series 53 - Applicable Federal Laws

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

I passed my 66 with an 83%. The main method of studying was the mp3 that I downloaded and listened to on my commute to and from work. The audio book was the reason I did well. Thanks!

Eric Dicken, BB&T Investments, Winterville, NC

The Pass the 66 book/audio series, as well as the timely responses I received from the professor, all led to my success in passing the Series 66. This is a test that must be taken seriously, and does just that.

Jason Abbamonte, Charles Schwab, Naples, FL

Very excited to pass the Series 66! The Solomon practice exams were very helpful to understand the concepts and fundamentals of the questions. I would highly recommend Solomon Exam Prep for all FINRA exams. Make sure to have a good grasp on agent registration and suitability when taking the 66. Thank you Solomon!

Blake Rossman, TrueWealth. Bellevue, WA

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

I passed my Series 66, 1st try. Your audiobook was the game changer for me. Thank you!

S Stephens, Merrill Lynch. Orlando, FL