Series 65: Exercise

Taken from our Series 65 Online Guide

We have an Audiobook for this text!

Exercise

Answer true or false

1. True or false. Broker-dealers are permitted to use customer testimonials in their advertisements.
2. True or false. Investment adviser representatives can never use references or past recommendations as part of their advertising efforts.
3. True or false. Graphs and charts are prohibited from advertisements for investment advisers and investment adviser representatives.
4. True or false. Broker-dealers operating within a bank setting should always offer their services in an area distinct from where regular banking activity takes place.
5. True or false. As long as an agent selling shares of a mutual fund delivers a final prospectus before a given sales date, full disclosure has been provided.

Answers

1. True. Broker-dealers may us

+ Read More

More Series 65 Info

What are people saying?

Create an Account

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

Series 65 - Earnings Before Taxes

Series 24 - 4.2.9.2. Safe Harbor for Private Placements Sold Directly from the Issuer

Series 53 - 2.1.1. Brokers and Dealers

Series 65 - Planning for Education and College Costs

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my series 65 exam on the first attempt! The books and sample questions are always very helpful. I leveraged this course with another program that was offered to me. I did mainly use this one and found the material very helpful. Overall, I would say the test questions that were in the book and online were much more difficult than the exam itself. I do like the crash course piece, but would also love the option of a instructional video which is what the other course offered. I learn not just by readying, but visually as well. The combination of the two were very helpful, but overall I felt the material, especially the sample test questions, were more comprehensive. Thank you for the material.

Ken Kramer

I used Solomon to prep for my Series 65 exam. I was extremely impressed with how prepared I was for the actual exam! After reviewing the chapter material and taking 7-10 quizzes for each chapter, I was scoring around a 75 average on the practice exams, I wasn't sure that would be enough to pass. However, on exam day I felt extremely confident with the material, and I passed the 65 on my first attempt with about 45 minutes to spare. Extremely satisfied with how Solomon teaches the material to truly make it stick, and also with the progress statistics that they show you, so you know what to work on. I would 100% recommend it to anyone trying to pass their Series exams!

Landry Mead, Goldman Sachs Ayco Personal Financial Management. Dallas, TX

Thank you Solomon! I passed the Series 65 today on the 1st attempt. Same result as on the Series 63 I passed last year. The Solomon video lectures and exam simulator was awesome. It not only helped pass the test but helped me really understand all the material.

Gary Kilanowski. Scottsdale, AZ

Thanks to you I passed the Series 65 exam on my first try. I appreciated your materials and online test bank.

Jeff

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 want to thank Solomon Prep for helping me to pass the Series 65.

Nelson Coleman, Saint Louis, MO