September Study Question of the Month

 

 

Which of the following statements is most accurate regarding cross-transactions between accounts at a broker-dealer?
 
 
 
  1. Cross-transactions only create a potential conflict of interest for investment advisers.
  2. Broker-dealers are prohibited from engaging in cross-transactions.
  3. Cross-transactions are prohibited under all circumstances.
  4. Cross-transactions between accounts at a broker-dealer create conflict-of-interest risk.
 

Solomon Series 65 Flashcard App Now Available

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 Continue reading

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!

SIE Live Class in San Diego

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 GuideExam SimulatorAudiobookVideo 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.

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.

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.