Series 54: Request For Proposal (RFP) Exemption

Taken from our Series 54 Online Guide

Request for Proposal (RFP) Exemption

The request for proposal (RFP) exemption allows market participants (i.e., broker-dealers) to provide advice to a municipality as part of the RFP process. Specifically, the municipality may solicit ideas regarding the issuance of municipal securities in a competitive underwriting process. The request for proposal exemption is narrow and should follow these guidelines:

•The RFP is conducted by the municipal entity or obligated person, or a registered municipal advisor acting on its behalf

•A particular objective is identified in the RFP (e.g., ideas on how to structure a particular issuance

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: Request For Proposal (RFP) Exemption, you might also be interested in:

Series 7 - 1.5. American Depository Receipts

Series 6 - 1.2. Securities Act of 1933 and Issuing Securities

Series 79 - Ineligible Issuers

Series 79 - Quantitative

Series 66 - Liabilities

Series 65 - 1.5.1.1.1. Market Risk

Series 66 - 7.4. Investment Company Act of 1940

Series 24 - Safe Harbor for Statements by Issuers

Series 53 - Books and Records

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

Mark Melio, Melio & Company, LLC. Northfield, IL

I thought you might appreciate knowing that I passed the test with a 90 today. Thanks again for all the help and good quality material that your company has. I am very glad to have used your materials and will certainly refer others to Solomon Exam Prep. (Series 6 & 63)

Matthew Baird, Gloversville, NY

I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

Katrina Jackson, Cambridge Investment Research, Fairfield, IA

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

3rd time is a charm and it took Solomon to do it. None of the other materials in my first two attempts were strong enough to enable me to reason my way to the correct answers. Solomon's angle on this material was closest to the actual test and was the reason I got there.

As an aside, the ongoing personal help was very surprising and commendable. Thank you, Solomon!

Jason Bowen, Southington, CT