What Makes The Series 79 Exam So Hard ?
The reason the series 79 is so hard is because candidates must master a large number of analytical concepts in order to pass the series 79 exam. Not only are candidates required to master these concepts, they must also memorize a substantial number of mathematical calculations and formulas to succeed on exam day. ( See our […]
How SEC Marketing Rules for Investment Advisers are tested on the Series 65 and 66 exams
In this article we are going to help you understand regulations surrounding how investment advisers market services to prospective clients. The SEC has modernized the advertising rules for investment advisers. The new rule sets standards regarding the use of testimonials, performance-based presentations and the use of third-party rating systems. The term advertisement as defined under […]