Series 22: 5.1.4. Supervising Account Activities

Taken from our Series 22 Top-off Online Guide

5.1.4. Supervising Account Activities

FINRA rules outline in detail a procedural framework by which accounts must be supervised. Each member firm is required to specify in writing its supervisory responsibilities and supervisory procedures to govern the activities of its registered employees. Compliance with these procedures and their maintenance will be assured by certain supervisory controls, periodic inspections, and reviews.

+ Read More

More Series 22 Info

What are people saying?

Create an Account

Since you're reading about Series 22: 5.1.4. Supervising Account Activities, you might also be interested in:

Series 51 - Chapter 1 Practice Questions

Series 53 - Chapter Four

Series 66 - Currency Risk

Series 65 - 1035 Exchanges for Variable Life Insurance Contracts

Series 7 - 2.14.3 Other Asset-Backed Securities

Series 99 - Exercise

Series 24 - Identity Theft

Series 79 - Chapter 12 Practice Questions

Series 66 - Section One

Series 65 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

I passed the series 22! Solomon's study materials and exams were the key to my preparation. I tried other companies first, and I knew something was off. After taking the FINRA exam, I know I would have failed if not for Solomon. I cannot overstate this. This test was difficult and foreign. Solomon helped me learn everything I needed to pass the series 22. Many thanks!

Jim Scott, AGES . Ocala, FL

Recently passed my Series 22 using the Solomon material. Failed the exam once previously using The Securities Institute of America material. Solomon gave me the tools in order to succeed and pass my exam. I highly recommend this material!

Cole Seelhammer. New Braunfels, TX

Recently passed the FINRA Series 22 Exam. Though the exam is short, the material is obscure and not what you deal with every day in the industry. Solomon did a great job of putting together material and providing a deep understanding. After about 6 weeks of studying and taking 2 practice exams a day, I passed the exam on the first try! Thanks for putting together a robust training product.

Eric Stroehle, Steelwater Wealth Management. Oakville, CT

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

I passed the Series 63 on the first try. You now have a loyal customer in me. Using Solomon is probably the closest exam success guarantee you could possibly get. Thanks, your exam prep was worth every penny. I would recommend your exam prep to anyone and if I ever have a take another Series exam. I will only be using Solomon exam prep.

Joseph Boswell, FFA. Riverview, FL