• Series 63, 65, 66 Live Class
  • IAR CE Launch
  • Live Web Classes general
  • Pass Probability
Industry News
Solomon Exam Prep Named One of the "Best SIE Exam Prep Courses of 2023"
  Feb 14, 2023
For the second year in a row, Investopedia has chosen Solomon Exam Prep as the “Best Value” SIE Exam Prep Course. Read More...

New IAR CE Courses: Options 101 and Recommending Complex Products
  Jan 11, 2023
Solomon Exam Prep has added two new NASAA-approved courses to its Investment Adviser Representative Continuing Education (IAR CE) course library. Read More...

Oregon Adopts Continuing Education Requirement for Investment Adviser Representatives
  Jan 06, 2023
Investment Adviser Representatives registered in Oregon must complete NASAA-approved IAR CE beginning in 2023. Read More...

Which States Will Require IAR CE in 2023?
  Dec 05, 2022
A total of eleven jurisdictions will require registered Investment Adviser Representatives to complete NASAA IAR Continuing Education in 2023. Read More...

How to Pass the FINRA Series 24 Exam
  Nov 29, 2022
Should you take the Series 24 exam? Keep reading to learn what the Series 24 qualifies you to do, what the exam covers, and how you should prepare for it. Read More...

Are FTX account holders covered by SIPC?
  Nov 28, 2022
The answer: only SEC-registered broker-dealers offer SIPC insurance. Crypto platforms like FTX are not SEC-registered broker-dealers. Read More...

Solomon Partners with State College of Florida to Offer SIE, Series 6, 7, 63, 65, and 66 Exam Prep Courses
  Nov 10, 2022
In addition to offering an SIE exam prep course, State College of Florida has added courses for five more securities exams using Solomon Exam Prep study programs. Read More...

Failed the SIE? What To Do Now.
  Oct 19, 2022
Passing a securities exam like the SIE exam is an important step in your career. But what if you don’t pass the first time? Here are tips for restudying. Read More...

What FINRA CE Changes Are Coming in 2023?
  Oct 17, 2022
Important changes to the Regulatory Element and Firm Element components of FINRA CE are set to go into effect on January 1, 2023. Read More...

New Edition of Solomon Study Guide for Series 24 Exam Now Available
  Oct 06, 2022
The 5th edition of the Solomon Series 24 Study Guide covers everything you need to know to pass the Series 24 exam and become a General Securities Principal. Read More... Regulation M, Rule 104—Stabilizing Bids and Other Activities

1.2.4 Product Disclosures Sidebar

4.5.10. Liquidity Risk

Rule G-7—Information About Associated Persons

interest rate risk

institutional communication

public offering

interest rate risk

breakpoint sale