Series 79: Non-Institutional Customers

Taken from our Series 79 Top-off Online Guide

Non-Institutional Customers

Where a securities recommendation has been made to a customer other than an institutional customer, the broker-dealer must make reasonable efforts to obtain information about the customer’s finances, tax status, investment objectives, and any other information the broker-dealer considers reasonable to take into account when making recommendations.

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Just passed my Series 7 using Solomon Exam Prep! Have used Solomon for my Series 79 as well. Both study programs are excellent and felt well prepared sitting for my exams. Would recommend to others in the industry.

Natasha Trilli, Ocean Park. Houston, TX

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