Series 65: 10.11.9. Selling Away

Taken from our Series 65 Online Guide

10.11.9. Selling Away

If you recall from an earlier section of this text, agents of broker-dealers are only permitted to be employed by one firm at a time. This means that any securities services an agent provides away from his employing firm are prohibited. In particular, taking part in investment sales for securities that are not sold through an agent’s firm represents an ethical violation

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 10.11.9. Selling Away, you might also be interested in:

SIE - Callable Bonds

Series 7 - 12.1.5.1 Agreement Among Underwriters

Series 82 - Placement Agent Compensation

Series 52 - 6.1.1. Tax Brackets

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Hi Jeremy, I passed! Thanks for all your hard work and support to help me get through the Series 65! I went from scoring a 65 [using a competitor's material] to a 79 percent [with your Exam Prep]. I felt your material covered the exam perfectly. I went out of my way of actually learning instead memorizing. I used the book and the audio book as well as your online test prep. I am glad that is over with! Thanks again, best wishes to you as well.

Bryce Lindley, Sisters, Oregon

I am so happy to say that took my Series 65 Exam and passed on my first attempt! All thanks must go to Solomon Exam Prep and its materials. I read the Study Guide cover to cover 3 times, took notes and took what felt like endless practice quizzes, but I must say that I found the practice questions more difficult than the actual exam! I cannot recommend Solomon Exam Prep enough!

Kevin Blanchard, Meche and Associates. Breaux Bridge, LA

Your material was great. I took the Series 65 in March [2010] and passed with a 90%.

Mark S., Baker, Vermont

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

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

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