Oklahoma Adopts Continuing Education Requirement for Investment Adviser Representatives

Investment Adviser Representatives registered in Oklahoma must complete NASAA-approved continuing education courses beginning in 2023. Continue reading

Oklahoma is the most recent state to adopt NASAA’s new investment adviser representative continuing education (IAR CE) requirement. The new CE requirement will go into effect for IARs registered in Oklahoma on January 1, 2023. Kentucky, Michigan, and Wisconsin will also begin implementing the requirement in 2023.

The IAR CE requirement is already in effect in Maryland, Mississippi, and Vermont. As a result, IARs registered in any of these states must complete CE by the end of 2022.

Arkansas, Nevada, Rhode Island, and Washington D.C. have begun the process to adopt the IAR CE requirement. If these jurisdictions finalize adoption in 2022, then the requirement will be effective on January 1, 2023.

The NASAA model rule requires IARs registered in jurisdictions that have adopted the rule to complete 12 credits of CE each year. The requirement applies to both state-registered and federal-registered investment advisers. Six of the 12 credits must be in the Products and Practices category. The other six credits must be in the Ethics and Professional Responsibility category (at least three of these must be Ethics).

Beyond these credit requirements, IARs are free to choose courses that fit their interests and business needs. But any courses taken to fulfill the IAR CE requirement must be approved by NASAA. Solomon Exam Prep is a NASAA-approved CE provider, and all courses in Solomon’s IAR CE course library offer credit towards the CE requirement. Explore Solomon’s IAR CE courses.

For more information about IAR CE, visit the Solomon IAR CE FAQs or NASAA’s IAR CE FAQs.

Disclaimer: NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

Solomon Series 82 Study Guide, 5th Edition, Now Available

The updated 5th edition of the Solomon Series 82 Study Guide covers everything you need to know to pass the FINRA Series 82 exam. Continue reading

If you work at a FINRA member firm and want to become a registered representative, you’ll need to pass a job-specific FINRA licensing exam. One such exam is the Private Securities Offerings Representative Exam, also known as the Series 82. The Series 82 exam is half the length it once was (50 questions instead of 100), but it hasn’t become much easier. How should you prepare for the exam?

Solomon Exam Prep is delighted to release the 5th edition of “The Solomon Exam Prep Guide: Series 82 FINRA Private Securities Offerings Representative Exam.” With this updated version of the Study Guide, professionals who want to become a registered Private Securities Offerings Representative can learn the content they need to know to pass the Series 82 exam. Passing the Series 82, along with the co-requisite Securities Industry Essentials (SIE) Exam, qualifies an individual for the sale of private placement securities as part of a primary offering.

About the Series 82 Exam

The Series 82 is a fairly difficult exam that requires candidates to study a wide range of securities, regulations, and market information. Exam topics are divided into four sections:

    • Section 1: Seeks Business for the Broker-Dealer from Customers and Potential Customers
    • Section 2: Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
    • Section 3: Provides Customers with Information About Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records
    • Section 4: Obtains and Verifies Customers’ Purchase Instructions and Agreements; Processes, Completes and Confirms Transactions

To help prepare candidates for this challenging exam, the Solomon Series 82 Study Guide is continually kept up to date to reflect current rules and regulations, and it covers all key exam topics. Charts, graphs, and practice questions throughout the text support learners in understanding and applying important concepts.

“The rules are a big part of the Series 82, but becoming registered as a Private Securities Offerings Representative is about more than learning to play by the rules – it means you are expected to be competent. That’s why passing the Series 82 requires mastering a wide range of knowledge. The Series 82 is a high bar, but once you’ve hurdled it, you’ll be a knowledgeable private securities industry professional.”
Jeremy Solomon
Solomon Exam Prep President and Co-founder

What changes with this new edition?

The core content of the Series 82 Study Guide remains the same, but some important changes include:

    • Expanded and updated discussion of Regulation D private placements, including the SEC’s new definition of accredited investors
    • A new section with extensive coverage of Regulation Best Interest and the new suitability requirements it imposes on BDs
    • Information about the SEC’s new, higher exempt offering dollar caps
    • Added discussion of the SEC’s new Rule 152, which has a major impact on how exempt offerings retain their exempt status
    • Updated and expanded explanation of crowdfunding
    • Updated and expanded coverage of using finders to identify potential investors
    • Revamped discussion of member private offerings rules
    • Additional coverage of gifts and charitable donations
    • Information about the SEC’s fair disclosure rules

Content updates for this new edition are also reflected in the Solomon Series 82 Exam Simulator. The online Exam Simulator complements the Study Guide with over 1,700 practice questions for the Series 82. Hone, track, and assess your knowledge by taking unlimited chapter quizzes and full exams to practice what you’ve learned.

“I took the Series 82 just four weeks after passing the SIE. I followed the study plan, took tons of the great practice tests, got great advice from Karen [Solomon Co-founder & Content Director], and everything worked out well. It was literally the perfect test prep experience... 100% rating. Thank you, Solomon!”
Jonathan Roth
DAK Capital / DAK Group, Rochelle Park, NJ

Series 82 Study Materials

The Series 82 Study Guide is available as a digital subscription with a hardcopy upgrade option. You can purchase the Study Guide individually or in a package with supporting Series 82 study products. Customers also have access to free tools and resources, including a study schedule in digital and pdf formats, which helps you master the exam material with maximum efficiency.

To learn more about Solomon Exam Prep’s Series 82 study materials, including Study Guide, Exam Simulator, Audiobook, Video Lecture, and Flashcards, visit the Solomon Series 82 product page.

Series 82 Exam Practice Questions

Test your Series 82 knowledge! The questions below come from Solomon’s industry-leading Exam Simulator:

1. A Regulation A (also called Regulation A+) offering is for a maximum amount of securities of:

    1. $75 million or less during a 6-month period
    2. $75 million or less during a 12-month period
    3. $10 million or less during a 12-month period
    4. $10 million or less during a 6-month period

2. What is the equivalent taxable yield of a 6.5% municipal bond if the investor’s tax bracket is 25%?

    1. 18.5%
    2. 8.67%
    3. 6.5%
    4. 4.88%

3. According to Regulation D, which of the following are NOT considered “accredited investors?”

    1. A married couple with an annual joint earned income of $250,000 for two years
    2. An individual with an annual earned income of $250,000 for each of the last two years
    3. An individual with a net worth of $1,500,000, not counting his or her home
    4. All are considered

Answers: 1) B.   2) B.   3) A.

For more Series 82 practice questions and to try out the Solomon Exam Simulator, take Solomon’s free Series 82 Sample Quiz!

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Solomon Partners with State College of Florida to Offer SIE Exam Prep Course

Solomon Exam Prep’s SIE study program is available as an on-demand course via State College of Florida’s Lifelong Learning and Workforce Development Division. Continue reading

Solomon Exam Prep is excited to be partnering with the State College of Florida (SCF) to offer an online SIE Exam Prep course through SCF’s Lifelong Learning and Workforce Development Division. The self-paced, non-credit course will prepare students to sit for the FINRA Securities Industry Essentials (SIE) Exam.

The SIE Exam Prep course is for anyone who is curious about the world of finance and investing, or who might be interested in a career in the field. The FINRA SIE Exam tests general knowledge of the securities industry and is the foundational requirement for many careers, including stockbroker, financial advisor, investment banker, and more. A passing score on the SIE Exam is valid for your years, and having it on your resume can open doors to jobs in the finance and securities industries.

“Solomon Exam Prep is thrilled to be working with the State College of Florida to help SCF students pass the FINRA SIE exam and other securities licensing exams.”

Jeremy Solomon, President & Co-founder of Solomon Exam Prep

What does the course include?

Course registration includes 180-day access to the Solomon SIE Total Study Package, which contains the following digital study materials:

    • Study Guide
    • Exam Simulator
    • Audiobook
    • Video Lecture
    • Flashcards

The Solomon SIE Total Study Package also comes with helpful resources and tools, including Solomon SIE Study Schedules, up to twenty Ask the Professor questions, and Pass Probability™, an AI technology that predicts exam readiness.

About the State College of Florida

Established in 1957, State College of Florida, Manatee-Sarasota (SCF) is the region’s first and largest public college, serving 11,000 college credit students annually at three campuses and via online classes. Another 14,000 participants annually take professional development and personal enrichment classes through SCF’s Lifelong Learning and Workforce Development Division, which offers year-round non-credit courses both in person and online.

Interested in partnering with Solomon?

Solomon Exam Prep partners with dozens of colleges and universities to bring the Solomon SIE exam prep program to students across the country. Solomon can tailor its SIE curriculum to fit any course, including credit and non-credit courses, as part of a current course such as Finance or Capital Markets, or as a self-study program. The Solomon platform works equally well for in-person, hybrid, and online courses.

Join institutions such as State College of Florida, Elon University, Florida Memorial University, Pepperdine University, the University of North Carolina at Pembroke, Claflin University, University of Delaware, Adelphi University, University of Nebraska-Omaha, Seton Hall University, Ohio Dominican University, Georgetown University, Widener University, and University of Dallas in partnering with Solomon.

To learn more about the ways colleges and universities can partner with Solomon, contact Beth Hamilton, Higher Education Development Manager, at beth@solomonexamprep.com or 503-601-0212.

New Solomon Series 82 Live Web Class

The Solomon Series 82 Live Web Class will help you learn important exam topics from a Solomon Professor. Class recording included for replay. Continue reading

Are you preparing to take the FINRA Series 82 exam and looking for additional support? Solomon Exam Prep is offering a new Series 82 Live Web Class to help you prepare! The Solomon Series 82 Live Web Class is designed to supplement your studying with live, online instruction. In this 4-day intensive class, a Solomon content professional leads you step-by-step through the most important Series 82 exam topics.

The class covers the following Series 82 topic areas:
    • Seeks Business for the Broker-Dealer
    • Safe Harbors from Registration under the 1933 Act
    • Communications with the Public
    • Opens Accounts
    • Customer Accounts
    • Supervision and Communications with the Public
    • Provides Information, Makes Recommendations, Maintains Records
    • Financial Goals and Strategies
    • Taxation of Debt and Equity Securities
    • Types of Risk and Recordkeeping Requirements
    • FINRA Conduct Rules
    • Verifies Purchase Instructions and Completes Transactions
    • Customer Complaints and Dispute Resolution Procedure

Registration is now open for the Series 82 class taking place Monday, July 5, to Thursday, July 8, 12:00 – 3:15 pm ET each day. Click the link below to learn more and sign up. Not sure if a Solomon Live Web Class is right for you? Read our frequently-asked-questions below.

Frequently Asked Questions about Solomon Live Web Classes

  • Where can I take a Live Web Class?

    Classes take place online using Zoom, so you can learn anywhere you have an internet connection. Attend classes on your computer, tablet, or smart phone.

  • When can I take a Live Web Class?

    Although classes are live and scheduled at specific times, you can also learn asynchronously. Solomon provides class attendees with daily class recordings in case you miss any live class time. Recordings are available in your student account for 30 days after the class ends.

  • Who teaches Solomon Live Web Classes?

    Solomon Live Web Classes are taught by members of Solomon’s content team. As a result, you benefit from authoritative instruction on exam concepts, contextualized by supporting examples.

  • Am I able to interact with the instructor during the class?

    The live, interactive format gives you the chance to listen to an expert explain tricky concepts, plus ask questions when needed using the chat feature in Zoom.

  • Why should I take a Live Web Class?

    There are many reasons you might decide to take a Live Web Class:

    • You want to begin your studies with an overview from an instructor. A Live Web Class will take you through the most important exam concepts, and you’ll come away with a good idea of what you need to study to be well-prepared for the exam.
    • You struggle with self-paced learning. If it’s hard to stick to the Solomon Study Schedule, then taking a Live Web Class can help you get through the most important exam concepts in a short period of time. A class isn’t a substitute for reading the Study Guide and taking practice exams in the Exam Simulator, but it will enable you to learn a lot of information and set you on the right track to completing your study plan.
    • You attempted the exam previously and didn’t pass, so you think a class could help you pass the next time. A Live Web Class will give you a comprehensive overview of the most important exam topics, explained by a Solomon content professional. And you’ll have the opportunity to ask questions and get clarification on any confusing points.
    • You want to review before taking the exam. Once you’ve completed a Solomon Study Schedule and are nearing your exam date, a Live Web Class is the perfect way to review all the crucial exam concepts and clear up any trouble areas.

  • When is the best time to take a Live Web Class?

    Many students report getting more out of a class after they’ve spent a significant amount of time studying on their own first. A Solomon Live Web Class is a useful addition to your study plan if you’re struggling with certain topics or want a comprehensive review before taking the exam.

    Before taking a Solomon Live Web Class, we encourage you to follow Solomon’s self-paced study course. You can use individual study materials or a package, but at a minimum we recommend the Study Guide and Exam Simulator. Other materials available include Audiobooks, Video Lectures, and digital Flashcards. For the best results, follow a study schedule (Solomon provides free digital and pdf schedules).

  • Can I take a Solomon Live Web Class if I’m studying with another company’s materials?

    Yes, a Solomon Live Web Class is a great way to supplement your self-paced learning, whether using Solomon’s study materials or another company's. Keep in mind, though, that the content of the class aligns closely with the Solomon Study Guide. As a result, studying with Solomon study materials in addition to taking the class will give you the most cohesive experience.

Series 54 Solomon Study Guide, 3rd Edition, Now Available

The new 3rd edition of the Solomon Series 54 Study Guide covers everything you need to know to pass the exam and become a Municipal Advisor Principal. Continue reading

If you’ve already passed the Series 50 exam and are working as a Municipal Advisor Representative, then you’re well-positioned to consider taking the Series 54 exam. The MSRB Series 54, or Municipal Advisor Principal Exam, qualifies you to supervise associates who conduct municipal advisory business. But how should you prepare for the exam?

Solomon Exam Prep is excited to release the 3rd edition of “The Solomon Exam Prep Guide: Series 54 MSRB Municipal Advisor Principal Qualification Examination.” With this updated version of the Study Guide, professionals who want to become registered Municipal Advisor Principals can learn the content they need to know to pass the Series 54 exam.

About the Series 54 Exam

The Series 54 exam is 110 questions long and tests your knowledge of three main topic areas:

    1. Understanding the Municipal Advisor Regulatory Framework
    2. Supervising Municipal Advisory Activities
    3. Supervising Municipal Advisor Firm Operations

Passing the Series 54 requires you to study and master a wide range of municipal advisory knowledge. This is because, as Solomon Exam Prep President and Co-founder, Jeremy Solomon, explains, “Municipal advisors have a crucial responsibility to establish and enforce compliance procedures at their firm, which is why the Series 54 exam is so challenging. To pass the Series 54, high-quality study materials are a must, and Solomon delivers just that with a consistently high pass rate to prove it.”

“Municipal advisors have a crucial responsibility to establish and enforce compliance procedures at their firm, which is why the Series 54 exam is so challenging. To pass the Series 54, high-quality study materials are a must, and Solomon delivers just that with a consistently high pass rate to prove it.”
Jeremy Solomon
Solomon Exam Prep President and Co-founder

What changes with this new edition?

The core content of the Series 54 Study Guide remains the same, but some key changes in the 3rd edition include:

    • Expanded and updated coverage of the MSRB’s pay to play rule


    • Expanded coverage of the MSRB’s advertising rules

    • Expanded and updated discussion of the MSRB’s rules about giving and receiving items of value

    • Supplemental information on continuing disclosure agreements

    • Expanded coverage of mandatory recordkeeping for municipal securities transactions


    • More detail on mandatory recordkeeping of customer complaints

Content updates for this new edition are also reflected in the Solomon Exam Simulator. The online Exam Simulator complements the Study Guide with hundreds of practice questions for the Series 54. Hone, track, and assess your knowledge by taking unlimited chapter quizzes and full exams to practice what you’ve learned.

Series 54 Study Materials

The Series 54 Study Guide is available as a digital subscription with a hardcopy upgrade option. You can purchase the Study Guide individually or in a package with supporting Series 54 study products. Customers also have access to free tools and resources. These include a study schedule in digital and pdf formats, which helps students master the exam material with maximum efficiency.

To learn more about Solomon Exam Prep’s Series 54 study materials, including Study Guide, Exam Simulator, Audiobook, and Video Lecture, visit the Solomon Series 54 product page.

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ESG Investing and DeFi & Digital Assets CE Courses Now Available

Investment Adviser Representatives have two more Solomon continuing education courses to choose from to complete their annual NASAA IAR CE requirement. Continue reading

Solomon Exam Prep has just added two new courses to its Investment Adviser Representative Continuing Education course library! Both courses are approved by NASAA and earn credit towards the new CE requirement for investment adviser representatives (IARs).

An Introduction to ESG Investing

Curious about the increasingly popular form of investing called ESG (Environmental, Social, and Governance) investing? Solomon Exam Prep’s new continuing education course, “An Introduction to ESG Investing,” provides a helpful overview of the topic for IARs.

The course begins with a short history of the ESG movement, including the role that international and domestic governing bodies have played in jumpstarting ESG investing. The different types of ESG ratings are compared and explained. Additionally, the course describes the kinds of ESG securities offered, as well as ways to choose an ESG portfolio that aligns with an investor’s values. Finally, the course lays out the potential risks and benefits of ESG funds and common ESG investment philosophies, such as impact investing and sustainable investing.

By the end of the course, you’ll be able to do the following:
    • Briefly describe the domestic and international roots of ESG investing and how it has grown to become a prominent force for change in the US and EU
    • Identify the characteristics and examples of the types of metrics used to gauge compliance with ESG goals
    • Understand the basic differences between the several types of ESG ratings agencies
    • Describe the common types of ESG securities, such as mutual funds, ETFs and green bonds
    • Identify examples of how states have led the shift in ESG investing
    • Describe the risks and benefits of investing in ESG funds
    • Define basic terms used in ESG investing tactics, such as impact investing and sustainable investing

The Introduction to ESG Investing course is worth one credit for the Products and Practices category. IARs must complete six credits of Products and Practices courses each year, of the 12 total required credits.

DeFi and Digital Assets

If you’ve been hearing terms such as “cryptocurrency,” “DeFi (short for decentralized finance),” and “NFTs” and wondering what all the fuss is about, you’re not alone. Solomon Exam Prep’s new “DeFi and Digital Assets” continuing education course offers a look into the world of digital assets through the lens of fiduciary duty.

The course discusses examples of digital assets such as cryptocurrency, dApps, DeFi Projects, and Non-Fungible Tokens (NFTs). You’ll learn about the function of these digital assets and asset tools, as well as the benefits and drawbacks for IARs and their clients. This includes a discussion of whether IARs have the tools to provide a sufficient suitability analysis on these digital assets for their clients. The course ends with an assessment of the SEC’s regulatory framework for these assets.

By the end of the course, you’ll be able to do the following:
    • Explain the Prudent Investor Rule and identify two factors that are important in presenting a suitability analysis
    • Identify at least one advantage and one disadvantage to using a smart contract-based dApp as opposed to a traditional financial instrument
    • Compare and contrast a normal digital token with an NFT
    • Identify how digital assets present a different kind of transparency when compared with traditional financial instruments
    • Identify three differences in the risk profile of a digital asset compared to a traditional financial asset, including two difficulties associated with assessing risk
    • Explain conflict of interest that occurs due to valuation methods in digital asset portfolios

The DeFi and Digital Assets course is worth one credit for the Ethics and Professional Responsibility category and falls into the ethics sub-category. Out of the 12 total required credits, IARs must complete six credits of Ethics and Professional Responsibility courses each year. Three of these must specifically be ethics courses.

Solomon Exam Prep Investment Adviser Representative Continuing Education program
Solomon Exam Prep IAR CE course platform

About Solomon IAR CE courses

Solomon’s online IAR CE courses are self-paced and accessible on any internet-enabled device. Each course consists of short reading passages followed by quick assessments of 2–4 questions each. This read-and-quiz format facilitates learning and retention.

All Solomon IAR CE courses earn credit towards the Products and Practices or the Ethics and Professional Responsibility categories required by NASAA. Once activated, you have up to 365 days to complete a course. When you finish a course, Solomon reports completion to FINRA, NASAA’s vendor for program tracking.

What is the IAR CE requirement?

Investment Adviser Representatives registered in a jurisdiction that has adopted and implemented the NASAA model rule must do annual continuing education. To fulfill the IAR CE requirement, IARs must complete 12 credits of continuing education each calendar year.

To learn more about the IAR CE requirement, visit the Solomon IAR CE FAQs page. Explore Solomon’s entire IAR CE course library – purchase individual courses or a membership to the whole library and complete all your IAR CE in one place.

Disclaimer: NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

Series 6 Solomon Study Guide, 3rd Edition, Now Available

If you need to take the FINRA Series 6 exam, the new 3rd edition of the Solomon Series 6 Study Guide covers everything you need to know to pass the exam. Continue reading

Are you thinking about a fulfilling career in the securities industry? There are many attractive roles to choose from, like investment adviser, financial adviser, insurance agent, or retirement plan specialist. Regardless of the path you choose, you’ll likely need to pass one or more licensing exams to qualify, such as the FINRA Series 6 exam. So how should you prepare for exam day?

Solomon Exam Prep has just released its 3rd edition of The Solomon Exam Prep Guide to the Series 6 Investment Company and Variable Contracts Products Representative Examination. To help professionals pass the exam, the Solomon Series 6 Study Guide is comprehensive and covers exam topics in easy-to-understand language. In addition, charts, graphs, and practice questions throughout the text support learners in understanding and applying key concepts.

What is the Series 6 exam?

The Series 6 is also known as the Investment Company and Variable Contracts Products Representative Examination. It is a representative-level exam for securities professionals who want to buy and sell certain investment products. Passing the Series 6 (plus the co-requisite Securities Industry Essentials, or SIE, exam) qualifies you to solicit, purchase, and/or sell:

    • Mutual funds (closed-end funds on the initial offering only)
    • Variable annuities
    • Variable life insurance
    • Unit investment trusts (UITs)
    • Municipal fund securities [e.g., 529 savings plans, local government investment pools (LGIPs)]

The Series 6 is only 50 questions long, but don’t let its humble length fool you. You’ll need to learn about many topics relating to the four main job functions of a Series 6 registered representative.

“The Series 6 exam is short, but it covers a lot of ground. Reading the Solomon Study Guide is the most crucial part of an effective study plan and will result in real learning. By mastering the concepts, test takers can handle any question the exam throws at them.”
Jeremy Solomon
Solomon Exam Prep President and Co-founder

What changes with this new edition?

The core content of the Series 6 Study Guide remains the same, but some key changes in the 3rd edition include:

    • Expanded and updated discussion of Regulation D private placements, including the SEC’s new definition of accredited investors

    • Additional, extensive coverage of Regulation Best Interest and the new suitability requirements it imposes on BDs

    • Expanded coverage of several aspects of mutual funds

    • Revised coverage of 529 college savings and prepaid tuition plans

    • Expanded coverage of FINRA’s taping rule with additional examples

Content updates for this new edition are also present in the Solomon Exam Simulator. The online Exam Simulator complements the Study Guide with over 3,000 practice questions for the Series 6. Take unlimited chapter quizzes and full exams to practice what you’ve learned and assess your growing knowledge.

Series 6 Study Materials

The Series 6 Study Guide is available as a digital subscription with a hardcopy upgrade option. It can be purchased individually or in a package with supporting Series 6 study products. Customers also have access to free tools and resources, including detailed study schedules in digital and pdf formats.

Learn more about Solomon Exam Prep’s Series 6 study materials, including Study Guide, Exam Simulator, Audiobook, Video Lecture, and Flashcards, by visiting the Solomon Series 6 product page.

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Series 52 Solomon Study Guide, 5th Edition, Now Available

The Solomon Series 52 Study Guide, 5th edition, covers everything you need to know to pass the Series 52 Exam and become a Municipal Securities Representative. Continue reading

For those interested in becoming Municipal Securities Representatives, passing the Series 52 exam (plus the co-requisite Securities Industry Essentials, or SIE, exam) is necessary. The MSRB Municipal Securities Representative Qualification Exam, also known as the Series 52, qualifies you to work in many capacities related to municipal securities. These include selling, underwriting, trading, advising, conducting research, and communicating with public investors.

Passing the Series 52 exam requires you to learn about many topics within the three main subject areas of the exam:

    • Municipal Securities
    • Economic Activity, Government Policy, and the Behavior of Interest Rates
    • Securities Laws and Regulations

At 75 questions, the Series 52 might not be the longest securities licensing exam. However, you’ll need to master a lot of knowledge, and Solomon recommends 60 hours of study time. A good study plan is a must. How should you prepare for the Series 52?

Solomon Exam Prep has just released the 5th edition of “The Solomon Exam Prep Guide: Series 52 MSRB Municipal Securities Representative Qualification Examination.” With this updated version of the Study Guide, professionals seeking their Series 52 license can learn the content they need to know to pass the Series 52 exam.

The Series 52 Study Guide is comprehensive and presents exam topics in easy-to-understand language. Charts, graphs, and practice questions throughout the text support learners in understanding and applying key concepts.

“Passing the Series 52 can be challenging because of the vast amount of material it covers. It helps to have study materials written in plain English and guided by research-based teaching methods, like the Solomon system.”
Jeremy Solomon
Solomon Exam Prep President and Co-founder
What changes with this new edition?

The core content of the Series 52 Study Guide remains the same, but the 5th edition of the Series 52 Study Guide includes the following content updates:

    • Expanded and updated coverage of 529 college savings plans
    • Additional information about the order period for new issues
    • Expanded and revised coverage of inflation and interest rates
    • Expansion and update of the process for close-outs
    • Expansion and update of material on limitations on gifts, gratuities, and non-cash compensation
    • A new appendix summarizing the most important and relevant MSRB rules

Updates are also reflected in the Solomon Series 52 Exam Simulator, which complements the Study Guide with over a thousand practice questions.

Series 52 Study Materials

The Series 52 Study Guide is available as a digital subscription with a hardcopy upgrade option. You can purchase the guide individually or in a package with accompanying Series 52 study products. You also benefit from free tools and resources, including Study Schedules in digital and pdf format, which guide you every step of the way.

To learn more about Solomon Exam Prep’s Series 52 study materials, including Study Guide and Exam Simulator, visit the Solomon Series 52 product page.

Also coming soon is the Solomon Series 52 Audiobook! The Audiobook is a word-for-word recording of the Solomon Series 52 Study Guide, giving you greater flexibility in where and how you study for the Series 52 exam.

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Series 53 Solomon Study Guide, 4th Edition, Now Available

The 4th edition of the Solomon Series 53 Study Guide covers everything you need to know to pass the Series 53 Exam and become a Municipal Securities Principal. Continue reading

If you’re already working as a Municipal Securities Representative (Series 52), then you may be considering taking the Series 53 exam as a next step. Passing the MSRB Series 53, or Municipal Securities Principal Qualification Exam, qualifies you to oversee the municipal fund securities activities of a securities firm or bank dealer. You’re also qualified to supervise others working in several capacities related to municipal securities.

The Series 53 exam is 100 questions long and tests your knowledge of six main topics:

    • Federal regulations
    • General supervision
    • Sales supervision
    • Origination and syndication
    • Trading
    • Operations

Given this broad scope, you shouldn’t take the Series 53 exam lightly. How can you prepare for exam day?

Solomon Exam Prep has just released the 4th edition of “The Solomon Exam Prep Guide: Series 53 MSRB Municipal Securities Principal Qualification Examination.” With this updated version of the Study Guide, professionals seeking their Series 53 license can learn the content they need to know to pass the Series 53 exam. Solomon Study Guides are continuously kept up-to-date and cover all key exam topics.

“Preparing for the Series 53 requires significant study time with high-quality materials. Solomon's innovative study system ensures you learn the information you need to know as efficiently as possible.”
Jeremy Solomon
Solomon Exam Prep President and Co-founder
What changes with this new edition?

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

    • More detailed coverage of the MSRB’s advertising rules
    • Expansion and update of the process for close-outs
    • Revised coverage of 529 plans
    • Greater detail about how to handle customer complaints
    • Expansion of the taping rule section
    • Additions to the free-to-trade wires section
    • Expansion and update of material on limitations on gifts, gratuities, and non-cash compensation
    • A new appendix summarizing the most important and relevant MSRB rules

Content updates for these new editions are also reflected in the Solomon Exam Simulator. The online Exam Simulator complements the Study Guide with over a thousand practice questions for the Series 53. Hone, track, and assess your knowledge by taking unlimited chapter quizzes and full exams to practice what you’ve learned.

Series 53 Study Materials

The Series 53 Study Guide is available as a digital subscription with a hardcopy upgrade option. It can be purchased individually or in a package with accompanying Series 53 study products. Customers also have access to free tools and resources, including a study schedule in digital and pdf formats, which helps students master the exam material with maximum efficiency.

To learn more about Solomon Exam Prep’s Series 53 study materials, including Study Guide and Exam Simulator, visit the Solomon Series 53 product page.

Also coming soon is the Solomon Series 53 Audiobook! The Audiobook is a word-for-word recording of the Solomon Series 53 Study Guide, giving you greater flexibility in where and how you study for the Series 53 exam.

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Kentucky Adopts Continuing Education Requirement for Investment Adviser Representatives

Investment Adviser Representatives registered in Kentucky must complete NASAA-approved continuing education courses beginning in 2023. Continue reading

Kentucky is the latest state to adopt the NASAA model rule that requires investment adviser representatives (IARs) to complete annual continuing education (CE). The CE requirement will go into effect on January 1, 2023, for IARs registered in Kentucky.

Michigan and Wisconsin will also require IARs to complete CE starting in 2023.

Other states that are in the process of adopting IAR CE are Arkansas, Nevada, and Washington D.C. If these jurisdictions finalize adoption of the CE requirement in 2022, then it will go into effect in 2023.

The IAR CE requirement went into effect in Maryland, Mississippi, and Vermont on January 1, 2022. As a result, IARs registered in these states must complete CE by the end of this year. The requirement applies to both state-registered and federal-registered investment advisers.

IARs who are required to complete CE must take 12 credits of CE coursework each year. NASAA allows IARs to choose courses they’re interested in, but the courses and course provider must be approved by NASAA.

Solomon Exam Prep is a NASAA-approved CE provider, and all the courses in Solomon’s IAR CE course library earn credits towards the CE requirement. Explore Solomon’s IAR CE courses.

For more information about IAR CE, visit the Solomon IAR CE FAQs or NASAA’s IAR CE FAQs.

Disclaimer: NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.