The NASAA Investment Adviser Law Exam, also known as the Series 65 exam, has a tough reputation for a reason: it consists of 140 questions that cover a wide range of financial and legal topics including monetary policy, interest rates, time value of money, statistics, valuation methods and ratios, types of risks, equity and fixed income securities, derivatives, portfolio management, taxes, capital market theory, trading, state and federal regulations of investment advisers and broker-dealers and more!
Thanks to Solomon Exam Prep’s relentless pursuit of new and better ways to help individuals pass the Series 65 and other securities exams, passing the Series 65 has never been easier.
Now you can learn key definitions and concepts on the Series 65 with Solomon Exam Prep Series 65 exam Digital Flashcards. Includes over 650 digital cards featuring clear,easy to understand definitions and a rating feature allows user to customize deck for targeted learning. Also, if you want audio assistance, you can turn on text-to-speech and listen while you learn.
Available for $29.95 or buy a Solomon Series 65 Study Package … and get the Solomon Series 65 Digital Flashcards for free!
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Some brokers and dealers registered with the SEC do not have to become SIPC members. Which of the firms below need not belong to SIPC?
- Firms whose principal business is conducted outside the United States
- Firms that deal exclusively in the distribution of shares of registered open-end investment companies or unit investment trusts.
- Broker-dealers that deal exclusively in the sale of municipal securities
- Firms that deal exclusively in transactions in security futures products
- I and II
- I and III
- I, II, and III
- I, II, and IV
Learn key definitions and concepts on the FINRA Limited Representative-Private Securities Offerings Qualification Exam with Solomon Exam Prep Series 82 Top-off exam digital flashcards! Continue reading
Learn key definitions and concepts on the FINRA Limited Representative-Private Securities Offerings Qualification Exam with Solomon Exam Prep Series 82 Top-off exam digital flashcards! The perfect supplement to Solomon’s industry-leading Series 82 study materials, the Solomon Series 82 flashcard pack will help you learn industry definitions and concepts with ease.
- Over 300 digital cards featuring clear, easy to understand definitions
- Rating feature allows user to customize deck for targeted learning
- Turn on text-to-speech and listen while you learn
- Available on Solomon Exam Prep apps for on-the-go learning
- Individual price: $29.95
Or, buy a Solomon Series 82 Top-off Study Package … and get the Solomon Series 82 Top-off Flashcards for free!
Solomon Exam Prep is excited to offer a Live SIE Class in San Diego! Continue reading
Solomon Exam Prep is excited to offer a Live SIE Class in San Diego! The Live Class Package not only includes your admission into the class, but also the Solomon Study Guide, Exam Simulator, Audiobook, Video Lecture, and Flashcards. The live, in-person class will cover the major topics of the SIE exam September 17–October 17.
9/17: Equity Securities | 6 to 8 PM
9/18: Debt Securities | 6 to 8 PM
9/19: Investment Companies, Life Insurance Products, and Other Packaged Securities | 6 to 8 PM
9/26: Options and Alternative Investments | 6 to 8 PM
10/1: Risk, Disclosures, and Taxation | 6 to 8 PM
10/2: Issuing Securities: The Primary Market | 6 to 8 PM
10/3: The Securities Markets | 6 to 8 PM
10/10: Customer Accounts | 6 to 8 PM
10/15: Prohibited Activities and Conduct Rules | 6 to 8 PM
10/17: Regulatory Responsibilities | 6 to 8 PM
Already have SIE materials? Purchase admission to the class here!
Note: In the event that the required minimum number of students is not met, Solomon Exam Prep reserves the right to cancel the class and in such case Solomon Exam Prep will issue a full refund to all students.
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- Disciplinary action by the SEC
- Disciplinary action by FINRA
- Damages paid to the holders of the privately placed shares
- Conversion of the privately placed shares to regular shares at a conversion ratio unfavorable to the company
Answer: C. Because a PIPE transaction is a private placement, the SEC does not require the company to register the shares. It is standard for the company to register the shares anyway, to remove their status as restricted securities. The company typically will have agreed to pay damages to the holders of the privately placed shares if this is not done within a reasonable time, usually 1% to 1.5% per month.
I’d utilized a competitor last year while attempting to retrieve my Series 7 license. I attempted three times using their material but resulted in failure. Continue reading