Series 65: 7.1.1.3 Third Market

Taken from our Series 65 Online Guide

7.1.1.3 Third Market

Third market refers to the negotiated sale of an exchange-listed security off the exchange. This over-the-counter (off-exchange) trading of securities between broker-dealers is done by computer and telephone. Historically, this option was chosen by institutional investors such as mutual funds, insurance companies, and pension funds seeking lower trading costs and greater flexibility.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 7.1.1.3 Third Market, you might also be interested in:

Series 53 - 4.2.2.2.4. Bond Years

Series 28 - Review of Customer Accounts

Series 52 - 7.5.1. Expansionary vs. Contractionary

Series 65 - Exercise

Series 65 - 7.3.16.1. Review of Bond Nomenclature

Series 50 - Amortization and Accretion

Series 51 - Custodial 529 Savings Account

Series 99 - 1.2.5.5 Transferring Legend Stock

Series 79 - Function Three

Series 82 - Acceptance, Waiver, and Consent

Series 7 - 16.1. Qualified Employer-Sponsored Plans

Series 65 - Exercise

Series 7 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I had my licenses but I let them lapse after I sold my firm. Now we're starting a new firm and I needed a refresher and studied your book and used the exam simulator. I passed the Series 65 and your materials were a big help. Now I am back for the Series 7 and I want your book, audio book and exam simulator. Thanks for an excellent product.

Jason Luquire Pawleys Island, SC

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

Great study materials. The program provided the information needed to successfully pass the Series 65. Thanks Solomon!

Bryan Acuto, Trust Advisory Group, Woburn, MA

Special thanks to Solomon for ensuring I pass the 65! Trust in the material and you will pass. I bought multiple resources and by far, Solomon was the best. Thanks again.

Paige Robino, Fisher Investments, Plano, TX

Thanks again for all your help. Loved the study materials and the book was very well written and easy to read. [Series 65]

Josh J. Solana Beach, CA

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI