Visit Solomon at the 2019 FINRA Annual Conference

Come to conference booth 12 to say hello and get a free copy of the Solomon SIE Exam Minibook. Continue reading

Solomon Exam Prep is thrilled to be exhibiting at the 2019 FINRA Annual Conference at the Marriott Marquis in Washington, DC. Come to conference booth 12 to say hello and get a free copy of the Solomon SIE Exam Minibook.

#finra#securitieslicensing#securities#sieexam

Pepperdine and Solomon

Solomon Exam Prep is excited to announce that Pepperdine Graziadio Business School has chosen Solomon Exam Prep as its curriculum provider for its summer Securities Industry Essentials exam prep class. Continue reading

Solomon Exam Prep is excited to announce that Pepperdine Graziadio Business School has chosen Solomon Exam Prep as its curriculum provider for its summer Securities Industry Essentials exam prep class. The two-credit class for Pepperdine MBA students will begin on June 17 and will run for seven weeks.  It will be taught by Chris Manfre.

Royal baby eligible to take FINRA SIE Exam in 18 years

Buckingham Palace announced this week that the Duchess of Sussex, Meghan Markle, had given birth to a boy. The father, Prince Harry, said he was “absolutely thrilled” but said the couple hadn’t chosen a name yet. Continue reading

Buckingham Palace announced this week that the Duchess of Sussex, Meghan Markle, had given birth to a boy. The father, Prince Harry, said he was “absolutely thrilled” but said the couple hadn’t chosen a name yet.

Royal observers noted that the Queen’s latest grandchild is seventh in line to the throne, behind the Prince of Wales, the Duke of Cambridge and his children – Prince George, Princess Charlotte and Prince Louis – and Prince Harry. Given this, some suggested that the nameless royal tike could consider taking the FINRA Securities Industry Essentials (SIE) exam.
 
Jeremy Solomon, President of Solomon Exam Prep, agreed: “the SIE exam is an option for anyone 18 years and older, regardless of your nationality, title or regal heritage.” SIE exam topics include: equity securities, debt securities, mutual funds, options, hedge funds, risks, disclosure, taxation, securities markets, issuing securities, customer accounts, prohibited activities, rules and regulations.
 
Solomon Exam Prep has helped thousands of commoners, and perhaps a few royals, pass FINRA, NASAA and MSRB securities licensing exams including the SIE and the Series 3, 6, 7, 14, 24, 26, 27, 28, 50, 51, 52, 53, 54, 63, 65, 66, 79, 82 and 99.

May Study Question of the Month

Submit your answer to info@solomonexamprep.com to be entered to win a $20 Starbucks gift card. Continue reading

Submit your answer to info@solomonexamprep.com to be entered to win a $20 Starbucks gift card.

Question

 

 

 

 

 

 

Through a private placement, Teddy purchases a 20% equity stake in Big Stick Industrial Adhesives. Are his shares considered control securities? Are they considered restricted securities?
 
A. Restricted only
B. Control only
C. Both control and restricted
D. Neither control nor restricted

Solomon Exam Prep releases unredacted Series 27 & Series 28 Video Lectures

Solomon Exam Prep, the leader in securities exam preparation, has released unredacted Video Lectures for the FINRA Series 27 (Financial and Operations Principal) and Series 28 (Introducing Broker-Dealer Financial and Operations Principal) exams. Continue reading

Solomon Exam Prep, the leader in securities exam preparation, has released unredacted Video Lectures for the FINRA Series 27 (Financial and Operations Principal) and Series 28 (Introducing Broker-Dealer Financial and Operations Principal) exams. The Series 27 and the Series 28 are required by FINRA for individuals who prepare and maintain the books and records of a securities firm.

Studying for the Series 27 and Series 28 exams is hard enough, according to Jeremy Solomon, president of Solomon.  The exams cover such topics as financial reporting, regulatory filing and notifications, clearance, settlement and delivery, net capital requirements of brokers and dealers, calculating aggregate indebtedness, margin deficits, haircut charges, balancing purchase and sale statements, aging and collateralization of receivables, and much more.  “If we redacted our Video Lectures it would be very difficult for students to understand — and they might not pass,” says Jeremy Solomon, president of Solomon Exam Prep.

Fortunately, Solomon Exam Prep has never redacted its study materials and, as a result, Solomon has helped thousands pass FINRA, NASAA and MSRB securities licensing exams including the SIE and the Series 3, 6, 7, 14, 24, 26, 27, 28, 50, 51, 52, 53, 54, 63, 65, 66, 79, 82 and 99.

Click here to purchase Series 27 and Series 28 materials.

Do you need to become a FINRA Compliance Officer?

Do you enjoy taking securities licensing exams? Continue reading

Do you need to become a FINRA Compliance Officer? Do you enjoy taking securities licensing exams? If your answer to both questions is yes, then you can take the Securities Industry Essentials (SIE) exam, the Series 7 General Securities Representative exam, and the Series 24 General Securities Principal exam. Nearly 400 questions of securities exam fun. 
 
But if you need to become a FINRA Compliance Officer and you do not have a passion for taking securities licensing exams, you’re in luck! Since October 1, 2018 individuals who want to become a FINRA Compliance Officer can take the FINRA Series 14 Compliance Officer Qualification exam instead. Just 110 questions. 
 
“We’ve helped thousands pass the Series 7, the Series 24 and the SIE exam,” Jeremy Solomon, President of Solomon Exam Prep, “we recognize that some people don’t love to take securities exams.” For those designated by their firm as having day-to-day compliance responsibilities or who supervise ten or more people engaged in compliance, FINRA has made the former NYSE Series 14 exam, the new alternative pathway to the Compliance Officer qualification. 
 
Now, with the Solomon Exam Prep Series 14 Exam Study Guide and Solomon Exam Prep Series 14 Online Exam Simulator, becoming a FINRA Compliance Officer has never been easier. Get these products bundled together for 10% off in the Solomon Exam Prep Series 14 Essentials Package.

Series 54 Pilot: Solomon Voyage to Municipal Advisor Principal Exam

Solomon Exam Prep is excited to launch the first study guide to the new MSRB Series 54 Municipal Advisor exam.  Continue reading

Solomon Exam Prep is excited to launch the first study guide to the new MSRB Series 54 Municipal Advisor exam. 

According to Jeremy Solomon, president of Solomon Exam Prep, the Series 54 is a new qualifying exam for individuals who supervise or manage the municipal advisory activities of a municipal advisor firm and its associated persons. Individuals interested in taking the Series 54 pilot exam must have passed the Series 50 Municipal Advisor exam.

According to the MSRB, the permanent Series 54 exam will be available in late 2019, at which time individuals functioning in a municipal advisor principal capacity will have one year to take and pass the permanent Series 54. Anyone who passes the pilot Series 54 will qualify as a municipal advisor principal and will not have to take the permanent Series 54.

The Solomon Exam Prep Guide to the Series 54 covers the three functions on the exam:

  • Understanding the Municipal Advisor Regulatory Framework
  • Supervising Municipal Advisory Activities
  • Supervising Municipal Advisor Firm Operations

Enrollment is between March 4-15, 2019 via FINRA’s Test Enrollment Services System.  

Anyone who misses the enrollment period might be “left behind” and not be able to join in this historic municipal securities exam pilot mission!