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The Power of Explaining: A Study Strategy Backed by Research
  Apr 12, 2021
If you’re studying for the Series 65, Series 7, or another securities licensing exam, try this evidence-based study strategy. Read More...



Simplifying After-Tax and Tax-Equivalent Yields
  Apr 05, 2021
For many when choosing bonds the most important factor is the tax implications. Knowing the after-tax yield and tax-equivalent yield calculations is critical. Read More...



Solomon Exam Prep SIE Practice Exam Now Available!
  Apr 02, 2021
Meet the newest addition to Solomon Exam Prep's lineup of free Sample Quizzes: the SIE Sample Exam! Visit the Solomon website to try it out. Read More...



Solomon Study Question of the Month for April
  Apr 01, 2021
This month's study question from the Solomon Exam Prep Online Exam Simulator question database is now available. Read More...



LIFO, FIFO and now TYPO: IRS Approves new accounting method
  Mar 31, 2021
The Internal Revenue Service announced April 1 that it was approving a third accounting method called TYPO. Read More...



How to Pass the FINRA Series 82 Exam
  Mar 29, 2021
Looking to become a private securities offering representative? Read Solomon Exam Prep's guide to effective preparation for the FINRA Series 82 exam. Read More...



What is a SPAC and should you care about it for the FINRA Series 79 exam?
  Mar 22, 2021
SPACs have grown by leaps and bounds in recent years, and the growth is only accelerating. What will this mean for regulations and the Series 79 exam? Read More...



How to answer state registration questions on the Series 63, Series 65, and Series 66
  Mar 15, 2021
Read Solomon Exam Prep's expert guide for answering state registration questions on the Series 63, 65, and 66 exams. Read More...



Broker-Dealer vs. Investment Adviser: What’s the Difference?
  Mar 08, 2021
Do your customers know the difference between an IA and BD? Do you know the importance of this distinction and how it may affect your registration status? Read More...



Solomon White Paper: Optimizing On-Boarding in 2021, 7 Key Trends for the Securities Industry
  Mar 01, 2021
Read Solomon Exam Prep’s analysis of the changing exam prep landscape and what your firm needs to optimize for these changes. Read More...



Beneficiaries

Chapter Eleven

Formal Hearings

Registration by Qualification

5.1.4.1. Designation of OSJ General Securities Principal

net asset value (NAV)

book value

secondary market

shelf offering

Rule 506(c)