Series 6: 4.1.1.4. The Transfer Agent And Registrar

Taken from our Series 6 Top-off Online Guide

4.1.1.4. The Transfer Agent and Registrar

Companies typically keep track of their securities issues by hiring a transfer agent, usually a bank or trust company. The transfer agent records who owns shares and in what form, recording changes of ownership as they occur. If stock certificates are involved, the transfer agent cancels the certificates surrender

+ Read More

More Series 6 Info

What are people saying?

Create an Account

Since you're reading about Series 6: 4.1.1.4. The Transfer Agent And Registrar, you might also be interested in:

Series 66 - Exercise

Series 79 - General Characteristics of Bonds

Series 54 - 2.3. The Municipal Underwriting Process

Series 51 - Prohibited Uses of Proprietary Information by Fiduciaries

Series 66 - 2.1.1.6 Transfer Rights

Series 65 - Section 402(a) Exemptions

Series 79 - Analysis of the Buyer’s Strategy and Resources

Series 50 - Swaptions

Series 7 - 17.2.1.4. Nasdaq Levels of Service

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

Well, I am back! Solomon did it again. I passed the Series 6. All of Solomons materials throughly prepared me for the passing of the SIE and the Series 6. Whose materials will I use for the Series 63? I am glad you asked. I must say it will be Solomon Exam Prep. Thanks again, Solomon your study materials are the best!

Leanene Carriere. Houston, TX

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

Thanks so much for your great product. I recently used for the Series 6 and took a month to study and passed. I previously used another provider and didn't pass.

K Francis, Allstate, Sugar Land,TX

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL