Testimonial Tuesday: November 24, 2015 Edition

“Loved Solomon’s exam simulator program from the start, and the FINRA Concept tests combined with the simulation exams is what really improved my score. Solomon will be the only company I use to prepare for all exam I may have in the future and I highly recommend it…” Continue reading

Testimonial Tuesday (November)

Testimonial Tuesday: February 10, 2015 Edition

“I passed my Series 63 today with an 85% and Series 6 two weeks back with an 80%…” Continue reading

“I passed my Series 63 today with an 85% and Series 6 two weeks back with an 80%. I was very nervous, but studying was made easy with Solomon Exam Prep; their simple Plain English explanations helped fight that legalese on the Series 63 especially. I totally owe this to the Solomon team, their awesome question bank, and friendly staff. “Ask the Professor” is prompt in answering all your queries. I’m definitely recommending their program to my employer.”  

-Priya R., PA

 — Read more reviews here: Solomon Exam Prep Reviews —

Testimonial Tuesday: December 16, 2014 Edition

“I passed the series 65 on my first attempt, thanks to the online quizzes & exams!” Continue reading

“I passed the series 65 on my first attempt, thanks to the online quizzes & exams! The instant rationale feedback option really helped me think through the concepts. I highly recommend your testing material!”

-Ashley, Slatington, PA

 

— Read more reviews here: Solomon Exam Prep Reviews —

Exam Alert: SEC staff provides compliance suggestions for IAs using social media

On January 4, 2012, the SEC staff provided suggestions for investment advisers using social media to help them comply with communication and recordkeeping rules. Of particular note, the SEC staff stated that the client use of the “like” button could count as a testimonial under the Investment Advisers Act. Continue reading

On January 4, 2012, the SEC staff provided suggestions for investment advisers using social media to help them comply with communication and recordkeeping rules.  Of particular note, the SEC staff stated that the client use of the “like” button could count as a testimonial under the Investment Advisers Act.  Investment adviser advertisements may not include testimonials.  Note that written communications addressed to more than one person are considered advertisements.

Source: National Examination Risk Alert: Investment Adviser Use of Social Media

This alert applies to the Series 65, Series 66, Series 24, Series 55, Series 62, and Series 82.