Series 65: Regulatory Risk

Taken from our Series 65 Online Guide

Regulatory Risk

Regulatory risk is the risk that an investment or security could suddenly devalue or experience a drop in its potential returns due to a change in the laws or regulatory environment of an industry or country. An example would be

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Regulatory Risk, you might also be interested in:

Series 26 - Introduction

Series 24 - Member Supervisory Controls

Series 66 - Fourth Market

Series 6 - 6.2.8. Taxation

Series 63 - Agent – Definition

Series 66 - 1.3.1.1.1. Market Risk

Series 51 - Municipal Securities Principal (Series 53)

Series 79 - Placement Agent Agreement and Compensation

Series 26 - Bonus Annuities

Series 66 - 2.5.1.1 Factors Affecting a Bond’s Value

Series 6 - 7.5.1.1. Account Statements

Series 24 - Registration Requirements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I wanted to add my testimonial to the long list of successful test-takers. Passed my Series 65 today on the first try! The materials were well written and made the concepts easier to understand (especially to someone with no background in finance like myself). I was a big fan of the audio format as I have a long drive back and forth to work (other test prep providers did not have this option). The test simulators were also a huge help. Thanks to the folks at Solomon Prep!

Ralph Marshall, High Speed Alliance, Wilmington DE

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time.

Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email from author/owner Jeremy Solomon and he actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam.

Thank you Solomon Exam Prep!!!!!

Carol Gallagher, TIAA, Syracuse, New York

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

I passed the test [the Series 65] with flying colors. Your study material, particularly the book and the online exams were the difference maker. Other individuals in my firm used exam prep courses from other companies and unfortunately did not pass the exam. I am confident in saying that these materials were the difference maker. Thank you for creating such a great product. Everyone in my firm will use your simulators going forward.

Chris T. Chambers, Senior Partner, My Harvest Field, Inc., Clearwater, FL

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

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY