SIE: 1.3.4.1. Transfer Agent And Registrar

Taken from our SIE Online Guide

1.3.4.1. 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 s

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 1.3.4.1. Transfer Agent And Registrar, you might also be interested in:

Series 6 - 4.2.11. U.S. Treasury Securities

Series 26 - Misrepresenting the Member Firm’s Registration

Series 66 - 6.5.1.3. Stop Orders

Series 66 - 3.1.6.1. Mutual Fund Manager Tenure

Series 53 - Financial Advisor

Series 65 - 6.1.1.2.2. Taxation of Mutual Funds

Series 50 - Electronic Municipal Market Access (EMMA)

Series 24 - Unlawful Representations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you so much Solomon Exam Prep. I took the SIE exam today and passed it the first try. Couldn't have done it without your help. Thank you again.

Cathy Villano, Eastchester, NY

PASSED SIE ON MY FIRST TRY!! Initially started with a competitor but I was referred to study through Solomon instead. After comparing the two, I stuck to Solomon for 6 weeks straight. The material and practice q’s gave me a better understanding and helped me prepare for the actual exam. Thank you!!

Gelyn Rice, Allstate, Los Angeles CA

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI

I utilized the Solomon SIE and Series 6 Top-Off study guide package. I passed on the first time by following the exact recommendations. While the test is different than the study exam questions it covers the content in a detailed way preparing you to successfully pass the exam. Great product and customer service!

Michael Gehrich, Allstate Insurance, Ft Myers, FL

Completing the SIE was a requirement for my current position. I looked around at different materials and started with Kaplan. The material was dry and seemed to have many errors in it. I decided to scrap that and move on to Solomon Exam Prep which I learned about from Reddit. The reviews were outstanding so I decided to give it a try. After going through the material once I felt beyond confident to take the exam. The study guide, audio book, exam simulator, and videos were extremely well done. After two weeks of reviewing and acing practice tests, I took my actual SIE exams and flew through it with about 1/3 of the time remaining when I finished. The preparation from Solomon Exam Prep helped me gain the confidence and understanding I needed to pass the exam on the first try!

Jared M. Albany, New York

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

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

SIE: 1.3.4.1. Transfer Agent And Registrar

Taken from our SIE Online Guide

1.3.4.1. Transfer Agent and Registrar

Since you're reading about SIE: 1.3.4.1. 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 →