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Industry News
Solomon Partners with Colleges & Universities to Bring SIE Exam Prep to Students
  Jul 19, 2021
Oregon Business Monthly highlights Solomon’s work bringing SIE exam prep to college students through our many partnerships with higher education institutions across the country. Read More...

How to Pass the NASAA Series 65 Exam
  Jul 12, 2021
What is the Series 65 exam and how should you prepare for it? Read Solomon Exam Prep’s guide to the NASAA Series 65 exam. Read More...

What are the permitted activities of a General Securities Representative (Series 7)?
  Jun 29, 2021
In this article, Solomon Exam Prep explains what a General Securities Representative can and cannot do and how this compares to other rep-level registrations. Read More...

How to Calculate Gains and Losses on Exercised Options
  Jun 16, 2021
Options are a common topic on the Series 6, Series 7, Series 65, Series 66, and SIE exams. Read our guide to calculating gains and losses on exercised options. Read More...

What Are QIBs and Accredited Investors? What's the Difference?
  Jun 01, 2021
If you're studying for securities licensing exams, such as the SIE or the Series 7, then you should understand the terms "accredited investor" and "QIB." Read More...

How to Pass the FINRA Series 14 and Become a FINRA-registered Compliance Officer
  May 24, 2021
Looking to become a compliance officer for a broker-dealer? Read Solomon Exam Prep’s guide to effective preparation for the FINRA Series 14 exam. Read More...

Answering Suitability Questions on the FINRA Series 7
  May 17, 2021
Suitability questions may appear daunting. But they don't have to be – read the Solomon guide to answering suitability questions with ease. Read More...

Securities Exam Score Survey Results Are In
  May 11, 2021
Do you think FINRA should provide exam scores to those who pass their qualification exams? Keep reading to learn the results of the Solomon survey. Read More...

Solomon Pass Probability™ Now Available for the FINRA Series 82
  May 07, 2021
Everyone would like to feel confident when they take their securities exam, but how do you know if you're ready for test day? Solomon Exam Prep can help – with Pass Probability™. Read More...

Solomon Releases New Edition of Series 14 Study Guide and Exam Simulator 
  May 03, 2021
The Series 14 is one of the more difficult FINRA exams, so it’s a good idea to be well-prepared going into test day – Solomon Exam Prep can help! Read More...

Administrative Actions

Roth 401(k) Plans

Potential Claims and Priorities of Investors

12.6 Restrictions on the After-Market of a Public Offering

Registration Requirements

regular way settlement


limited partnership (LP)

primary offering

anti-takeover laws