Series 7: 12.5.3 Sales Of Securities At Reduced Prices

Taken from our Series 7 Top-off Online Guide

12.5.3 Sales of Securities at Reduced Prices

A reduced price is any price below the stated public offering price. No member of the syndicate or selling group may offer securities from the offering to anyone outside the syndicate or selling group at a reduced price.

FINRA Rule 5141

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 12.5.3 Sales Of Securities At Reduced Prices, you might also be interested in:

Series 79 - 14.2.2. Unsecured Claims

Series 54 - Chapter Three Practice Questions

Series 79 - Cash Conversion Cycle: Example

Series 63 - 3.1.3. Post-Registration Requirements

Series 14 - 5.2.7.3.3. Automatic Exemptions

Series 24 - 4.5.2. Regulation AB

Series 79 - 9.5.5. Three-Year Records

Series 26 - The Taping Rule

Series 52 - 4.4.1.1. Electronic Municipal Market Access

Series 52 - 1.6.2.4. Withdrawals

Series 26 - Reprints and Excerpts

Series 52 - 7.2.3. Important Lagging Indicators

Series 65 - 8.10.3 Limits on Employment or Association

Series 7 - 2.11. Debt Retirement

SIE - Forwarding of Securities Information and Proxy Materials

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Just passed the series 7 today! Solomon was a huge help, as I used the practice exams exclusively. When preparing for this exam, make sure to allocate ~70% of your time on compliance, opening accounts etc. Looking forward to passing the series 66. I will continue using Solomon!

Blake Rossman, True Wealth Financial Partners. Fircrest, WA

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

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

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

I had a super rough go passing this (Series 7) exam due to a number of personal circumstances, but on my third attempt, I finally passed, with 30 minutes to spare! After my second failed attempt (I failed by ONE question), I spoke to Jeremy Solomon on the phone and via email, and he provided me with some strategies to help me pass the exam once and for all. I focused heavily on rereading the study guide, and teaching concepts to my spouse so that I wasn’t just learning the information, but really understanding it to the point where I could teach it to someone else. The exam simulators are super helpful, but don’t overdo it… this really isn’t the kind of test where you can only learn by doing practice questions. Re-watching the video lectures was very helpful for me as well. I also recommend making flash cards for memorization purposes. If you fail like me, don’t give up - perseverance (and more studying) will get you to the finish line!

Molly Magnuson, CBIZ Retirement & Investment Solutions. Kansas City, MO

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