Series 63: 4.4.1.3. Taking Orders In Client Accounts

Taken from our Series 63 Online Guide

4.4.1.3. Taking Orders in Client Accounts

When a customer places an order, an order ticket must be filled out prior to the order being executed. If the order is for a mutual fund, it must be promptly delivered to the

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 4.4.1.3. Taking Orders In Client Accounts, you might also be interested in:

Series 7 - 12.1.5.3 Selected Dealers Agreement (Selling Group Agreement)

Series 79 - Chapter Thirteen

Series 54 - Preliminary Official Statement

Series 63 - 2.1.2.5 Post-Registration Requirements

Series 6 - 4.2.14.1. General Obligation Bonds

Series 63 - Reasons for Disciplining an Agent

Series 79 - 7.3.3. Shelf Registrations

Series 65 - 2.16.3.1. Discounted Cash Flow Analysis

Series 66 - Income Statement

Series 79 - 13.1.2. Conducting the Tender Offer

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After using other exam preps, I settled on Solomon. This material was spot on! If you follow the study guides, read the chapters, watch the videos and listen to the audio, you will pass!! Good Luck! Thank you Solomon!

Celeste Gullo, Allstate Insurance, Glen Head, NY

I ordered the Series 63 material on 10/4 and sat for my exam today 10/15 and I passed....the exams are more challenging then the other vendors I used. This cleary helped me pass the exam. I'm about to order the 65 material

David Lewis, White Plains, NY

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!

Thank you very much!! I have to say your books and online quizzes are the best! They helped me pass my Series 6 (after failing twice with other study materials) and passing my Series 63 the first time! Thanks again!

Bernadette Reyes

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

Hard to believe but I never learned any English and with the help of Solomon exam prep I was able to pass the 82 and 63.

I’m so thankful to God.

Shulem Kahana, Eastern Union Funding, New York, NY