Series 82 Top-off Audio

Solomon Series 82 Top-Off

FINRA Private Securities Offerings Representative Examination - 3rd Edition

Note: the 4th Edition Study Guide is now available. In the Resources Folder is a PDF with all the changes between editions.

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Track Title Bookmark Length Download
1 Note From Publisher 0:57
2 Copyright 0:17
3 Introduction 11:10
4 Chapter One: Seeks Business for the Broker Dealer from Customers and Potential Customers 18:29
5 Integration of Offerings 15:21
6 Information Distribution for Private Placements 20:18
7 Other Securities Transactions Exempt From Registration 19:02
8 Delivery of a Prospectus 17:53
9 Chapter Two: Open Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 20:27
10 Joint Accounts 20:03
11 FINRA Conduct Rules 16:44
12 Chapter Three: Provides Customers with Information About Investments, Makes Suitable Recommendations 19:45
13 Laddering 19:42
14 Taxing Cash Dividends 19:01
15 Contacting Former Customers After Moving to a New Firm 10:45
16 Chapter Four: Obtains & Verifies Customers’ Purchase Instructions & Agreements; Processes, Completes, & Confirms Transac 18:22
17 Code of Procedure 15:07
18 Pool of Arbitrators 5:45

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