Series 66: 1.3.1.2.3 Regulatory Risk

Taken from our Series 66 Online Guide

1.3.1.2.3 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 o

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 1.3.1.2.3 Regulatory Risk, you might also be interested in:

Series 65 - 5.1.2.2 General and Limited Partnerships

Series 24 - 4.1.8. Closing the Syndicate

Series 79 - 8.6.2. For Direct Participation Programs

Series 7 - 9.4.1.1.4. Net Income

Series 82 - Customer Trade Confirmation and Completing a Transaction

Series 24 - 4.3.2.5. Anti-Fraud Provisions

Series 65 - Savings Incentive Match Plan for Employees (SIMPLE) IRA Plans

Series 79 - Institutional Customers

Series 65 - 3.1.5.1 Redemption of Mutual Fund Shares

Series 66 - Municipal Bonds

Series 3 - 7.5.2.2. Risk Disclosure Statement

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

So, on this exam [Series 66] I used both your material and Kaplan. mainly because the bank had already paid for kaplan and I had grown accustom to your laid back writing style along with a great mp3 version of the book. Anyway, I got a fair amount of questions from both the kaplan material and your material before taking the test. I have to say that your material matched more closely to the test than I ever would have expected. I will be coming back to Solomon exam prep for ALL of my exam prep needs. :-) Thanks!

Marshall Wolfe, Hopkinsville, KY

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

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

S Stephens, Merrill Lynch. Orlando, FL

I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent.

William Crull, Metairie, LA

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

I passed the Series 66 today with an 85%. Your book and PDF test questions were great, and turned out to be the only study material I needed to pass the test on the first try. I'll look to you again when I need my Series 7. Thanks!

Joshua Reeves, San Diego, CA