Series 79: SEC Requirements

Taken from our Series 79 Top-off Online Guide

SEC Requirements

Two rules promulgated under the Exchange Act govern recordkeeping by exchange members and broker-dealers. (We refer to both categories below as broker-dealers for short, but the rules apply to both groups.) SEC Rule 17a-3 sets forth, in daunting detail, the records that broker-dealers must make; Rule 17a-4 describes how long such records must be kept and in what form. Because Rule 17a-4 repeatedl

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I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY

Solomon's Series 79 materials are clear and concise. They were recommended to me over other prep material companies. Above all, the full exam simulator was essential in gaining familiarity, comfort and speed on exam day. I felt prepared and passed the exam the first time around.

Carlos Medina, New Century Capital Partners, Inc., Charlotte,NC

Passed the Series 79, was really difficult but the materials prepared me well. Was passing the practice exams with mid 80's to high 90's the last two days. Highly recommend using Solomon.

Natasha Trilli, Ocean Park. Houston, TX

Fantastic prep for my Series 79 -- and I passed again!! Thank you Solomon!

Paul Werp, Connected Vision Advisors. Mountain View, CA

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Walter Whitehead FNEX Capital. Los Angeles, CA

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Brady Johnson, Herbert J. Sims & Co., Inc., Fairfield, CT