Series 54: 1.3.2. Advising On Continuing Disclosure Filings (Not Advice)

Taken from our Series 54 Online Guide

1.3.2. Advising on Continuing Disclosure Filings (Not Advice)

Consider a situation in which a broker-dealer is engaged as an underwriter for a new issue of bonds, and, while performing due diligence, the broker-dealer discovers that the municipality did not fulfill its continuing disclosure responsibilities for an outstanding bond issue for which the broker-dealer is not an underwriter. The SEC has determined that the brok

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 1.3.2. Advising On Continuing Disclosure Filings (Not Advice), you might also be interested in:

Series 66 - Exercise

Series 53 - Advertisements Exempt from Disclosure Requirements

Series 66 - 7.9.3.1. Exemptions from Registration

Series 52 - Rule G-43—Broker’s Brokers

Series 14 - 8.2. Customer Screening and Other Account Documentation

Series 24 - Pool of Arbitrators

Series 66 - Excessive Trading (Churning)

Series 63 - 1.3.2.1 Disciplinary Action Against an IAR

Series 7 - Chapter 15 Practice Questions

Series 7 - 2.14.2. Collateralized Mortgage Obligations

Series 79 - 7.1.4. The Syndicate

Series 53 - Exercise

SIE - 1.3.2.7. Preemptive Rights

Series 52 - 1.4.2. By Taxable Status

Series 66 - Regulation of Broker-Dealers

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 used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY

I passed the Series 63 exam yesterday. Thanks for your help and everyone at Solomon. You guys are great!!!

Tom Armstrong, Berliner Cohen, San Jose, CA

I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon Exam preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam.

Cachet Johnson, PNC, Cleveland, OH

Thanks for your help. I passed my Series 6 test! Couldn't have done it without Solomon Exam Prep study materials.

Joshua J. Parsons, Redbud Financial Group, Oklahoma City, Oklahoma