Series 82: 4.7.3. Code Of Procedure

Taken from our Series 82 Top-off Online Guide

4.7.3. Code of Procedure

FINRA may issue a complaint against any member firm or associated person who is suspected of violating any rule, law, or regulation under FINRA’s jurisdiction. Complaints must be delivered in writing to the accused person and the Office of Hearing Officers. The Office of Hearing Officers will promptly assign a Heari

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 4.7.3. Code Of Procedure, you might also be interested in:

Series 53 - Contributors

Series 7 - 2.14.3 Other Asset-Backed Securities

Series 24 - 3.3.4. Direct Registration

Series 24 - 3.7.2.3. Price Increases and Special Memorandum Accounts

Series 99 - 3.3.2.5 Telemarketing

Series 14 - Series 14 Online Guide

Series 53 - 5.5.5. Alternative Trading Systems Records

Series 65 - 5.2. Client Profiles

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Dear Solomon Exam Prep, Thank you for your great exam prep materials for the Series 82 Top-Off Exam...I recently took it and passed.

Mordechai Slovin, Palladium Capital Advisors, Israel

I took the Series 82 just four weeks after passing the SIE. I followed the study plan, took tons of the great practice tests, got great advice from Karen, and everything worked out well. It was literally the perfect test prep experience. The materials themselves were not overly long as with other groups, it was the exactly right amount, and the Exam Simulator is just awesome, best one of its kind I've ever used. 100% rating. Thank you, Solomon!

Jonathan Roth, DAK Capital/DAK Group, Rochelle Park, NJ

The Solomon Exam Prep materials for the Series 82 were great. I felt very well prepared for the exam. I only studied for one full week (probably about 40 hours) and completed the exam in 30 minutes and passed! Thrilled with the results.

Jessica Kates, Carnegie Growth Partners LLC. Philadelphia, PA

I successfully passed on the first attempt my Series 82 exam today after using the Solomon Exam Prep course. It is an excellent online study tool. The entire suite of exam prep offerings were very helpful as I could study at my own pace and customize my learning. I used the flashcards, quick and longer exams simulations and found the "Fast Facts" extremely useful as a final prep summary. I would highly recommend Solomon Exam Prep to anyone either just entering the securities industry or adding new licenses during their career.

Michael Ryan, Growth Capital Services. San Francisco, CA

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN