Category: Exam Study Guide

New Editions of the Solomon Series 63, 65, & 66 Study Guides

If you plan to take the NASAA Series 63, Series 65, or Series 66 exams, the new editions of these Solomon Study Guides are now available. Continue reading

Are you thinking about pursuing a career as an investment adviser representative? Do you need to register in a state as a broker-dealer representative? Or perhaps you’d like to qualify as both a securities agent and an investment adviser representative? If you said “yes” to any of these questions, then you likely need to take either the Series 63, Series 65, or Series 66 exam.

Solomon Exam Prep is excited to announce the release of new editions of Solomon’s Series 63, Series 65, and Series 66 Study Guides! Solomon Study Guides present the information you need to know in easy-to-understand language, helpful charts and graphs, and practice questions. You’ll be well-prepared for these exams with Solomon’s updated editions:

    • Series 63 Study Guide, 6th Edition
    • Series 65 Study Guide, 4th Edition
    • Series 66 Study Guide, 5th Edition
What changes with these new editions?

While the core content of the study guides remains the same, some key changes include:

    • New sections on the Securities and Exchange Commission (SEC) Marketing Rule
    • New sections on private foundations versus donor-advised funds
    • Updated 2022 tax information

Content updates for these new editions are also reflected in the Solomon Exam Simulator. The online Exam Simulator complements the study guides with thousands of practice questions for the Series 63, Series 65, and Series 66 exams. Hone, track, and assess your knowledge by taking unlimited chapter quizzes and full exams to practice what you’ve learned.

What are the Series 63, Series 65, and Series 66 exams?

The North American Securities Administrators Association (NASAA) created the Series 63, Series 65, and Series 66 exams. NASAA represents state securities regulators in North America, with the goal of protecting and educating investors.

The Series 63, Uniform Securities Agent State Law Examination, is the state law test for broker-dealer representatives. Of the three exams, the Series 63 is the shortest at 65 questions.

The Series 65, Uniform Investment Adviser Law Examination, qualifies individuals to become investment adviser representatives. The Series 65 exam consists of 130 questions.

Passing the Series 66, the Uniform Combined State Law Examination, qualifies an individual as both a securities agent and an investment advisor representative. However, to register as an investment adviser representative based on the Series 66, an individual must also pass the FINRA Series 7 exam. The Series 66 exam is 100 questions.

Solomon Exam Prep President and Co-founder, Jeremy Solomon, points out that there has been a rise in the number of investment adviser representatives, along with a shift towards firms registered as both broker-dealers and investment-advisers.

“At Solomon, our data show that more and more individuals are taking NASAA exams, especially the Series 65 and Series 66. With new editions of Solomon Study Guides for these exams, we continue our strong track record of helping thousands of financial professionals achieve their career goals by passing these important NASAA qualification exams.”
Jeremy Solomon
Solomon Exam Prep President and Co-founder

The Solomon Series 63, Series 65, and Series 66 Study Guides are available as digital subscriptions, with a hardcopy upgrade option. The guides can be purchased individually or in a package with accompanying study products. Customers also have access to free tools and resources, including Solomon Study Schedules in digital and pdf format, which help students master the exam material with maximum efficiency.

Additional study products for the Series 63, Series 65, and Series 66 exams include Audiobooks, Video Lectures, Flashcards, and Live Web Classes. To learn more about Solomon Exam Prep’s study materials for these exams, visit the Solomon website.

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4th Edition of the Solomon Series 7 Study Guide Now Available

If you plan to take the FINRA Series 7 exam, the new edition of the Solomon Series 7 Study Guide covers everything you need to know to pass the exam. Continue reading

There are many exciting careers in the securities industry, such as stockbroker, investment adviser representative, financial advisor, and investment banker. Perhaps less exciting are the securities licensing exams you’re required to pass to pursue these careers. For example, if you’re interested in a career buying and selling all securities products, then you’ll need to pass the FINRA General Securities Representative Exam, also known as the Series 7 (plus the co-requisite Securities Industry Essentials, or SIE, exam).

The Series 7 is one of the longest FINRA exams. It is a 135-question test that covers the four main functions of a securities representative. You have three hours and 45 minutes to complete the exam. Like all qualifying exams in the securities industry, the Series 7 is closed-book. As one of the most challenging FINRA exams, it’s a good idea to be well-prepared going into test day. How should you prepare for the Series 7 exam?

Solomon Exam Prep has just released its 4th edition of The Solomon Exam Prep Guide to the Series 7 General Securities Representative Examination. To help professionals pass the exam, the Solomon Series 7 Study Guide is comprehensive and covers exam topics in easy-to-understand language. Charts, graphs, and practice questions throughout the text support learners in understanding and applying key concepts.

“The Series 7 is challenging. To pass this exam, you must learn the concepts, not just memorize test questions. The Solomon system focuses on teaching the core concepts in a digestible way and reinforcing them through examples and quizzes. This prepares customers not only for the exam, but also for their careers.”
Jeremy Solomon
Solomon Exam Prep President and Co-founder
What changes with this new edition?

While the core content remains the same, the 4th edition of the Series 7 Study Guide includes helpful content updates, along with general writing improvements.

Updates are also reflected in the Solomon Series 7 Exam Simulator. Designed to accompany the Study Guide, the online Exam Simulator contains over 4,400 original Series 7 practice questions with rationales that explain why an answer is correct. With the Solomon Series 7 Exam Simulator, learners can take an unlimited number of quizzes and exams, and the simulator comes with helpful self-assessment tools and Solomon’s proprietary Pass Probability™ technology, which calculates the probability that the student will pass the Series 7 exam.

Solomon Exam Prep is committed to providing industry-leading securities licensing materials, which are continuously kept up-to date. If you are an existing Solomon Series 7 customer, the new 4th edition will be automatically updated in your account, free of charge.

To learn more about Solomon Exam Prep’s Series 7 study materials, including Study Guide, Exam Simulator, Audiobook, Video Lecture, Flashcards, and Live Web Classes, visit the Solomon Series 7 product page.

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Solomon Releases New Edition of Series 14 Study Guide and Exam Simulator 

The Series 14 is one of the more difficult FINRA exams, so it’s a good idea to be well-prepared going into test day – Solomon Exam Prep can help! Continue reading

Do you need to know about compliance issues related to a wide range of broker-dealer activities? Do you plan to supervise others engaged in compliance activities? If you said “yes” to these questions, then you probably work for a broker-dealer and need to take the FINRA Series 14 exam. The Series 14 is one of the more difficult FINRA exams, so it’s a good idea to be well-prepared going into test day – Solomon Exam Prep can help! 

Solomon is proud to announce the release of the 2nd edition of the Solomon Exam Prep Guide to the Series 14 Compliance Officer Examination. This comprehensive Solomon Study Guide is written in clear English and packed with practice questions, exercises, and visual aids for better understanding. The 2nd edition includes key updates and improvements designed to help Series 14 students prepare for their exam more effectively so that they can pass the first time.   

The Solomon Series 14 Study Guide, 2nd edition, includes: 
  • A chapter dedicated to research reports and research analysts, with new practice questions 
  • Expanded and revised discussion of Regulation SHO vs. OTC close-out rules 
  • Streamlined and simplified explanation of margin accounts 
  • Expanded and revised discussion of Regulation M stabilizing activities 
  • New material about tax rules for gifting shares to charity 
  • New material about stock splits for restricted stock 
  • New material about SPACs 
  • New material about categories of issuers, such as WKSIs and EGCs 
  • The SEC’s March rules update regarding Regulation D and Regulation A offerings 

Solomon has also updated the Series 14 Online Exam Simulator to reflect the changes made to the Study Guide. The new Series 14 Exam Simulator contains over 2,400 questions written by Solomon content experts. This massive question bank means that you will encounter new questions with each practice quiz or exam you take. Plus, each question provides a robust explanation so that you learn even more as you test yourself.

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah

CBRE. Beverly Hills, CA 

Solomon Exam Prep is committed to providing industry-leading securities licensing materials, which are continuously kept up-to date. If you are an existing Solomon Series 14 customer, the new 2nd edition will be automatically updated in your account, free of charge. 

To view samples of the Solomon Series 14 Study Guide and Exam Simulator, visit the Solomon website here. 

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.

Announcing the Release of the Solomon Exam Prep Android Mobile App!

With the release of the Solomon Exam Prep app, you have full mobile access to your Solomon study materials with the click of a button. Continue reading

Do you need to take a securities licensing exam?

Do you wish you had more time to study?

With the release of the Solomon Exam Prep Android app, you have full mobile access to your Solomon study materials at the click of a button.

  • Easier and quicker—Just click the Solomon Exam Prep icon on your phone to be taken directly to your account.
  • Access all your materials—The app provides full site functionality and access to your study guide, exam simulator, audiobook, and video lecture.
  • No typing on tiny keyboards—Don’t worry about typing in a web address! Our app will take you right where you need to be.

Move into the future of mobile securities exam prep with the Solomon Exam Prep app!

To download the app, please visit: goo.gl/IkNceh

Solomon Exam Prep has helped thousands of financial professionals pass their FINRA, NASAA, and MSRB licensing exams, including the Series 6, Series 7, Series 24, Series 26, Series 27, Series 28, Series 50, Series 51, Series 52, Series 53, Series 62, Series 63, Series 65, Series 66, Series 79, Series 82, and the Series 99.

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Solomon Exam Prep Launches MSRB Series 50 Permanent Exam Study Program

Solomon Exam Prep has published study materials for professionals required to take the upcoming Series 50 permanent exam. Continue reading

series50cover_fmtSolomon Exam Prep has published study materials for professionals required to take the upcoming Series 50 permanent exam. 

Portland, OR, August 22, 2016. After helping hundreds of individuals study and pass the MSRB Series 50 Pilot Exam, Solomon Exam Prep is proud to present a new, revised, and updated Series 50 exam prep program. The new program contains over 1,250 original practice questions.

“We were pleased with our students’ success on the Series 50 pilot exam: an 93.87% pass rate versus the national Series 50 pass rate of 84%.  And we are excited to announce the launch of the Solomon Series 50 exam prep program,” said Jeremy Solomon, president of Solomon Exam Prep.  “The MSRB updated and revised their Series 50 exam content outline and we responded to the regulators’ exam content changes, as well to student feedback from the pilot exam. For example, we added and updated material on MSRB Rules G-20, G-37, and G-42 governing activities of municipal advisors,” said Jeremy Solomon.

The Solomon Exam Prep Series 50 study program includes a Series 50 Exam Guide (digital and hard copy), a Series 50 Exam Simulator, and a Series 50 Video Lecture. Solomon Exam Prep’s innovative technology lets students study anytime, anywhere.

Informed by Professor Karen Solomon’s Ph.D. research on learning and memory, Solomon study materials emphasize learning then practicing, learning then practicing . . . With over 1,250 original practice questions, Solomon Series 50 students have a deep and robust pool of practice questions to hone their Series 50 exam knowledge and give them the active knowledge they need to pass the test. “Practice really does make perfect,” says Jeremy Solomon.

Important Things to Know about the Series 50 Exam

Launch date: September 12, 2016

Number of questions on the exam: 100

Passing score: 71%

Time to take the exam: 180 minutes

Exam fee: $265

Registration form: U4 for FINRA members or U10 for non-FINRA members

Exam location: Pearson VUE or Prometric testing centers

Who must take the exam: According to the MSRB, “a natural person associated with a municipal advisor who engages in municipal advisory activities on the municipal advisor’s behalf, other than a person performing only clerical, administrative, support or similar functions, must qualify by examination as a municipal advisor representative.”

Five decades in the muni business didn’t guarantee I’d pass the Series 50 pilot exam. (Just knowing content doesn’t mean you are ready for the test.) Thankfully, my Solomon Exam Prep materials were fantastic at teaching complex subject matter in a way that made the answers clear, and I passed the test with ease.

If you plan to take the Series 50 exam, then I strongly recommend that you give yourself the edge that Solomon’s study materials provide.  

John Canney
Municipal Advisors Group
Boston, MA

MEDIA CONTACT

Tim Kerlin
Solomon Exam Prep
6750 SW Franklin St.
Portland, OR 97223
(503) 601-0212
tim@solomonexamprep.com
http://www.solomonexamprep.com

Updated Series 63, 65, and 66 Materials Now Available!

On July 1, the North American Securities Administrators Association (NASAA) updated the Series 63, Series 65, and Series 66 exams. That means new material was added to the tests—material you need to know if you want to pass. Continue reading

On July 1, the North American Securities Administrators Association (NASAA) updated the Series 63, Series 65, and Series 66 exams. That means new material was added to the tests—material you need to know if you want to pass.

That’s where Solomon comes in. We updated our Series 63, Series 65, and Series 66 Study Guides and Online Exam Simulators so our customers don’t have to worry about being left behind by these changes.

Here are a few of the new topics:

• Exceptions for foreign broker-dealers
• Broker-dealer supervision of agents
• Prospectus delivery requirements
• Types of customer accounts
• Broker-dealer and agent commissions
• Cyber security and data protection
• Outside securities accounts
• Due diligence for broker-dealers
• Regulation A amendment
• Regulation D amendment

You can purchase each Exam Study Guide with our industry-leading Online Exam Simulator as part of our Essentials Study Package.

For a limited time, Like us on Facebook to get a coupon code for 10% off packages!

Want more information? Call 503.601.0212 or go to SolomonExamPrep.com.

Read a Solomon Exam Guide … and Live Longer

When you’re preparing for a securities exam, and you read a Solomon Exam Prep textbook, not only are you improving your chances of passing, but you’re also improving your odds of living longer. According to a new study published in Social Science & Medicine: Continue reading

When you’re preparing for a securities exam, and you read a Solomon Exam Prep textbook, not only are you improving your chances of passing, but you’re also improving your odds of living longer. According to a new study published in Social Science & Medicine:

  • On average, book readers live 23 months longer than individuals who don’t read books.
  • Books are protective regardless of gender, wealth, education, or health.

The authors Avni Bavishi, Martin Slade and Becca Levy write that there are two cognitive processes involved in reading books that could create a “survival advantage”. First, reading books promote the “slow, immersive process” of “deep reading,” a cognitive engagement that “occurs as the reader draws connections to other parts of the material, finds applications to the outside world, and asks questions about the content presented.”

“Cognitive engagement may explain why vocabulary, reasoning, concentration, and critical thinking skills are improved by exposure to books,” they write. Second, books “can promote empathy, social perception, and emotional intelligence, which are cognitive processes that can lead to greater survival,” they say.

In addition to improving their chances of living longer, securities exam students are likelier to pass and pass with a higher score, if they read an exam guide, according to Jeremy Solomon, president of Solomon Exam Prep.

Series 27 & Series 28 Exam Study Guides—Now Available!

Solomon Exam Prep is pleased to announce the publication of our Exam Study Guides for the Series 27 Financial and Operations Principal Qualification Examination and Series 28 Introducing Broker-Dealer Financial and Operations Principal Qualification Examination. Continue reading

Solomon Exam Prep is pleased to announce the publication of our Exam Study Guides for the FINRA Series 27 Financial and Operations Principal Qualification Examination and FINRA Series 28 Introducing Broker-Dealer Financial and Operations Principal Qualification Examination. An Online Exam Simulator for both exams has been available for the past year, but we are excited to expand our product offerings to better assist our customers in passing these exams.

Both Exam Study Guides are available as a hard copy book and can be purchased on the Solomon Exam Prep website. An online, digital version of these Study Guides will be available in the coming weeks.

Solomon Exam Prep Exam guides focus on the most important aspects of the exam and are peppered with frequent examples, exercises and practice questions. These succinct Exam Study Guides will get you on track to passing your exam in no time.

These new guides are additionally offered as part of our Essentials Study Package and included with our Online Exam Simulator—at a discounted price. Used successfully by thousands, this powerful combination gives you what you need to learn and retain the material by testing yourself as you go.

Series 27 Study Guide

Do Regulation T, rehypothecation and FOCUS reports give you a headache? Do you need to take the FINRA Series 27 exam? If you can answer yes to both questions, then let Solomon Exam Prep help relieve your anxiety. The Solomon Exam Prep Guide to the Series 27 FINRA Financial and Operations Principal Qualification Examination offers an efficient and comprehensive overview of what you need to know to pass the Series 27 exam.

BUY NOW!

Series 28 Study Guide

Do PAB Accounts, margin requirements and FOCUS reports give you a headache? Do you need to take the FINRA Series 28 exam? If you can answer yes to both questions, then let Solomon Exam Prep help relieve your anxiety. The Solomon Exam Prep Guide to the Series 28 FINRA Introducing Broker-Dealer Financial and Operations Principal Qualification Examination offers an efficient and comprehensive overview of what you need to know to pass the Series 28 exam.

BUY NOW!

New Series 82 Exam Study Guide

The securities world is constantly changing, and Solomon Exam Prep works to provide you with the most accurate and up-to-date exam materials on the market. Our brand new 2nd edition of The Solomon Exam Prep Guide to the Series 82 Limited Representative – Private Securities Offerings Representative Exam features 100 new practice questions, new visuals and examples, and expanded material on subjects throughout the book… Continue reading

9781610070874 cov.inddThe securities world is constantly changing, and Solomon Exam Prep works to provide you with the most accurate and up-to-date exam materials on the market.  Our brand new 2nd edition of The Solomon Exam Prep Guide to the Series 82 Limited Representative – Private Securities Offerings Representative Exam features 100 new practice questions, new visuals and examples, and expanded material on subjects throughout the book, including:

      • Updated FINRA rules
      • Regulation A+
      • Regulation D
      • Money market instruments
      • Insider trading
      • New suitability rules
      • Taxation

and much more that you will need to know to pass the Series 82 and sell private placements.

The Series 82 is a difficult exam, but with our guide you will approach the test fully prepared and be ready to enter the private securities industry with knowledge and expertise.  As Solomon Exam Prep President Jeremy Solomon says, “The increase in the numbers of people taking the Series 82 has mirrored the rise in the sale of private securities.  The Series 82 isn’t as extensive as some other FINRA exams, but it is not an easy exam for most test-takers.  That’s because three-quarters of the exam is on the regulation of securities and handling customer accounts, topics many professionals in the world of private placements may not be familiar with.  Becoming familiar with securities industry rules and laws generally means reading and practicing, something busy securities professionals often have difficulty finding the time for. That’s why Solomon study materials are so valuable — they make the process highly efficient and guide test-takers to success.”

Solomon Exam Prep has helped thousands of financial professionals pass their FINRA, NASAA, and MSRB securities regulatory exams including the Series 6, 7, 24, 26, 27, 28, 51, 52, 53, 55, 62, 63, 65, 66, 79, 82, and 99. The Solomon Exam Prep training system includes print and digital Exam Study Guides, Online Exam Simulators, Audiobooks, and Video Lectures to address the learning needs of all kinds of test-takers.