Series 82: 2.1.4.8. Review Of Transactions And Correspondence

Taken from our Series 82 Online Guide

2.1.4.8. Review of Transactions and Correspondence

WSPs must describe the procedure for how registered principals will review and endorse all transactions. WSPs must also describe how a principal will review all incoming and outgoing written and electronic public correspondence by the firm’s registered representatives. Only correspondence relating to the investment banking or securities business needs to be reviewed.

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 2.1.4.8. Review Of Transactions And Correspondence, you might also be interested in:

Series 7 - 14.5.5. Cash and Mailing Instructions

Series 27 - Part-Redeemed Bonds

Series 14 - 7.3.1.2. Other Principals

Series 27 - Dividend Payments

Series 52 - 3.4.5. Oversubscription

Series 50 - Methods of Primary Financing

Series 79 - 4.3. Precedent Transactions Analysis

SIE - Account Compliance Issues

Series 63 - C.5 Electronic Communications and Social Media

Series 6 - 7.5.1.6. Compensation Fees

Series 52 - 8.3.3. Written Supervisory Procedures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX

I just passed the 82 on my first attempt. The study guide and unlimited practice study exams are priceless. I took full practice exams until I was scoring in the 90's and I'm glad I did. The questions on the actual exam were more difficult than any of my practice exams but I was able to think through them and apparently answer enough questions correctly. I truly wouldn't have passed this exam without all of the practice exams Solomon offered.

Adam Drewry, Parsonex Securities. Denver, CO

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN

The online exam simulator was essential to helping me pass the Series 82 on my first attempt!! Have always used Kaplan for previous FINRA exams, so didn't know what to expect at first, but I was definitely prepared for this exam! Great job to everyone at Solomon, especially the exam writers !!

Luke Garcia, Capital Group, West Chester, PA

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC