Series 65: Catch-All Provision

Taken from our Series 65 Online Guide

Catch-All Provision

The investment adviser or covered associates are also prohibited from doing any of the prohibited activities listed in the rule indirectly. For example, they may not do any of these things through a family member or someone hired

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: Catch-All Provision, you might also be interested in:

Series 7 - 11.1.9.1. Distribution of Third-Party Research Reports

Series 65 - 1.4.1.5.2. The Current Ratio

Series 66 - Chapter 9 Practice Questions

Series 24 - 3.9.2. Tax-Qualified Plans

Series 24 - 5.2.2. Negotiated Markets

Series 54 - 1.5.4. Request for Proposal (RFP) / Request for Qualifications (RFQ) Exemption

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took the Series 65 Exam and passed with a good score. Thank you for all the materials. I did have to put a lot of study time into it but with hard work, your materials and prayer I passed!

Carla Martinez, GoodFuture, Laguna Beach, CA

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

I'm an auditory learner. Ordering the audio files was most helpful and I passed today with no worries.

Michael Freemire, Cambridge Advisors, Englewood, CO

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD

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

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!