Series 54: Disclosure Requirements

Taken from our Series 54 Online Guide

Disclosure Requirements

To monitor compliance with the rule, the MSRB requires dealers and advisors to submit quarterly statements reporting all of their political contributions for the previous quarter, whether made by MFPs, MAPs, or non-MFP executives or non-MAP executives. They must also list all the issuers with

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: Disclosure Requirements, you might also be interested in:

Series 24 - Management Company Rules

Series 22 - Affordable Housing Advantages and Risks

Series 66 - 6.5.1. Buy and Sell Orders

Series 6 - 4.1.1.2.8. Preemptive Rights

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

When I took my SIE exam, I only spent 30 minutes taking the exam and I passed. It is amazing how Solomon goes into detail regarding information. You guys provide more information than Kaplan's SIE book. Thank you so much for helping me succeed in my endeavors. Onward and upward to the Series 7. I'm choosing Solomon again!

Zach Sloan, Cambridge Investment Research, Fairfield, IA

I'd utilized a competitor last year while attempting to retrieve my Series 7 license. I attempted three times using their material but resulted in failure. After using Solomon I passed my SIE with no issue and decided to use Solomon again because I believed they provided the essential material to help you achieve. After using Solomon once again, I passed my Series 7 on the first try. I will be using them again to tame the beast they call the 24.

Zach Sloan, Cambridge Investment Research, Fairfield, IA

Solomon Exam Prep was very thorough and prepared me not only for the SIE, but the practice questions were so in-depth I now feel prepared for the Series-7 top-off as well.

Steven Laesser, Raymond James, Saint Petersburg, FL

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

Very excited to pass the Series 66! The Solomon practice exams were very helpful to understand the concepts and fundamentals of the questions. I would highly recommend Solomon Exam Prep for all FINRA exams. Make sure to have a good grasp on agent registration and suitability when taking the 66. Thank you Solomon!

Blake Rossman, TrueWealth. Bellevue, WA