SIE: Transfer Agent And Registrar

Taken from our SIE Online Guide

Transfer Agent and Registrar

Companies typically keep track of their securities issues by hiring a transfer agent, usually a bank or trust company. The transfer agent records who owns shares and in what form, recording changes of ownership as they occur. If stock certificates are involved, the transfer agent cancels the certificates surrendered

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Transfer Agent And Registrar, you might also be interested in:

Series 53 - Margin Accounts: Hypothecation

Series 3 - Exercise

Series 27 - Special Initial and Maintenance Margin Requirements

Series 53 - Uniform Practice Code

Series 24 - 5.6.5. Nasdaq Order and Quote Features

Series 53 - Insured Securities

Series 7 - 6.1.6.2. Withdrawal Plans

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Excellent! The Solomon curriculum prepared me well enough to make me feel comfortable during the actual exam. Practice questions and mock exams were challenging enough to test my knowledge but not too challenging to the point where I was discouraged.

Alex Syku. Easton, CT

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

Solomon Exam Prep prepared me well with a large variety of questions on the practice exams. I was able to pass my SIE on my first attempt, onto the Series 7!

Andrew Johnson, First State Investment Services. Worthington, MN

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT

The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
I am so happy with Solomon! So far, I've passed the SIE and Series 7 exam because I used their program to study. I am currently using their program to study for the Series 66 now. The practice exams are invaluable and are the best way to learn! I would give 10/5 stars.

Abbigayle Hanoch, LPL Financial. Ventura, CA

I passed first try on the SIE. Thanks to Solomon! The exam simulator is super helpful for prepping for test day.

William Windham, Solebury. Brooklyn, NY

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

SIE: Transfer Agent And Registrar

Taken from our SIE Online Guide

Transfer Agent and Registrar

Since you're reading about SIE: Transfer Agent And Registrar, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →