Series 24: Safe Harbor For Statements By Issuers

Taken from our Series 24 Online Guide

Safe Harbor for Statements by Issuers

SEC Rule 175 offers some protection for issuers who make “forward-looking statements” in documents filed with the SEC or in annual reports to shareholders, which ultimately prove to be in error. Such statements made by or on behalf of an issuer are considered by this rule not to be fraudulent, unless one can show that the statement was made without a reasonable basis or with a lack of good faith. A forward-looking statement is defined as one that contains the issue

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I passed my Series 24 with two weeks of nearly full-time study, using the textbook, the online class, and the exam simulator. The textbook was very readable and helpful in providing complete explanations, as well as helpful memorization tips. The online class and pre-recorded sessions were crucial to get through all of the material and put it in relative context. It was helpful to be able to have questions answered instantly and via email afterward. The online simulator questions were just like the exam questions, and the immediate feedback function was essential for learning from the practice quizzes and exam. I needed every minute of my study and practice time to count, and Solomon Exam Prep made it possible. Thank you!

T. Richmond, Bethesda, MD

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Kim Schmidt, Elmcore Securities, Las Vegas

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Rima Mehta, PNC Investments, Charlotte, NC

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Karen H, Dalkeith Group, High Falls, NY

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Will, Bainbridge Island, WA