Series 51: Timing Of Disclosures

Taken from our Series 51 Online Guide

Timing of Disclosures

Generally, the required disclosures should be made when the underwriter is engaged by the issuer. This is typically done through an engagement letter. However, disclosures concerning the arm’s-length nature of the underwriter-issuer relationship must be made in the earliest stages of the underwriter’s relationship with the iss

+ Read More

More Series 51 Info

What are people saying?

Create an Account

Since you're reading about Series 51: Timing Of Disclosures, you might also be interested in:

Series 53 - 4.2.2.3.2. Agreement Among Underwriters

Series 53 - Chapter 5 Practice Questions

Series 79 - Buyer’s Ability to Pay

Series 65 - 7.3.12 R-Squared

Series 7 - 3.2.3.1.1. Special Tax Bonds

Series 24 - Additional Information on Dividend Payments

Series 79 - 14.1. Participants in the Bankruptcy Process

Series 7 - 12.1.2.1 Initial Public Offering

Series 14 - 8.1.2. Know Your Customer Rule

Series 66 - 5.2. Retirement Plans

Series 3 - Exercise

Series 24 - Liability Arising in Connection with False Registration Statements– Section 11 of the Securities Act of 1933

Series 6 - 5.1.4.1. Shareholder Voting Rights

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

Katrina Jackson, Cambridge Investment Research, Fairfield, IA

I just took and passed the Series 51 in one attempt. The Solomon materials were excellent. The Solomon simulated tests were very beneficial and were very similar to the actual 51 test. Thanks to Solomon I was well prepared to succeed. When I was taking the actual 51 exam, I did not encounter any surprises that I was not prepared for. Solomon seems to have it very well covered. My method for success? I read the book chapter by chapter, taking the chapter practice tests along the way. I saved the questions I missed for review later. I then went through the book a second time using the same method. After reviewing the questions I had missed on the smaller exams, I started taking the timed simulation for the test. Again, I reviewed the questions I got wrong, making sure I understood the reason for getting it wrong and what the right answer should be. I did this review of missed questions every time I took the simulated exam. I took the simulated exam five or six times, getting scores in the low 80s. This method prepared me to take the real test which I passed on my first attempt. I highly recommend both Solomon and this study method for taking the 51. Good luck all future test takers!!!!

Jason Smith, Primerica, Duluth, GA

I just passed the S51 with an 86%. I want to express my sincere thanks to Solomon. I love the way you structure your practice exams. I always enjoy receiving speedy responses from Ask the Professor, especially from Karen. Karen, thank you for all your help, you are the best!!!!!!!

Margaret Chen, PFS Investment, Duluth, GA

I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA

Thank you so much for the easy reading! I passed the 51 on my first attempt!!

Amber Carrick, Keystone Financial Management, Bath, PA