Series 82: Exercise

Taken from our Series 82 Top-off Online Guide

We have an Audiobook for this text!

Exercise

Answer the following questions.

1. Smith & Smith, a broker-dealer, opens a new account for Viola. It must send a copy of the new account form to Viola within _____ and then every _____ after that to keep Viola’s financial suitability updated.
2. The USA PATRIOT Act requires member firms to verify customers’ identities. How long must records relating to this information be kept?
3. Janelle closes her account with Smith & Smi

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: Exercise, you might also be interested in:

Series 53 - Prohibited Uses of Proprietary Information by Fiduciaries and Improper Use of Assets

Series 14 - 8.2. Customer Screening and Other Account Documentation

Series 24 - 2.7. Financial Responsibility and the Net Capital Rule

Series 24 - Borrowing by Brokers: Hypothecation and Re-hypothecation

Series 26 - Customer Identification Program

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon Exam Prep materials for the Series 82 were great. I felt very well prepared for the exam. I only studied for one full week (probably about 40 hours) and completed the exam in 30 minutes and passed! Thrilled with the results.

Jessica Kates, Carnegie Growth Partners LLC. Philadelphia, PA

I just passed the 82 on my first attempt. The study guide and unlimited practice study exams are priceless. I took full practice exams until I was scoring in the 90's and I'm glad I did. The questions on the actual exam were more difficult than any of my practice exams but I was able to think through them and apparently answer enough questions correctly. I truly wouldn't have passed this exam without all of the practice exams Solomon offered.

Adam Drewry, Parsonex Securities. Denver, CO

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN