Series 54: 1.3. SEC Guidance On Advice

Taken from our Series 54 Online Guide

1.3. SEC Guidance on Advice

The SEC provides specific guidance on what is not considered advice, and it also offers some guidance on what is considered advice. When a person gives advice to a municipal entity, the person must register as a municipal advisor. When information that is not considered to be advice is given, registration is not required. Here are some examples provided by the SEC.

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 1.3. SEC Guidance On Advice, you might also be interested in:

Series 28 - Customer Confirmations

Series 7 - 3.6.22 Rule G-22—Control Relationships Must Be Acknowledged

SIE - Breakpoints

Series 79 - 2.5. Investors

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 took the Series 63 and passed on the 1st attempt. I have my degree in Exercise Science and had no previous finance training. I highly recommend the Solomon Exam Prep. Followed the recommended study plan and passed 8 practice tests. The practice exams prepared me for the actual test and I felt like the actual test was easier then the practice tests. Thank you Solomon!

Gary Kilanowski. Scottsdale, AZ

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

Passed the SIE on the first try. Solomon Exam Prep is definitely the way to go. Just follow your study guide. The practice exams are where Solomon truly shines. I will certainly be using Solomon for the Series 7.

Brandon Collins, Benchmark. Memphis, TN

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

I passed my Series 99 exam in a very short period of time and this wouldn’t be possible without the incredible material from Solomon Exam Prep. The preparation material is very comprehensive and always updated with recent changes in FINRA rules/industry practice. I scored 92%!!

Venu Rathi, The Carlyle Group, New York, NY