Series 3: 7.6.1.3. Decision

Taken from our Series 3

7.6.1.3. Decision

After the hearing, the hearing panel must write its decision based upon the weight of the evidence. The decision must contain:

• A summary of the charges, answer, and the evidence produced at the hearing
• A statement of findings and conclusions as to each allegation, including a statement of each act the respondent committed or omitted, each NFA requirement violated, and whether it constitutes conduct

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.1.3. Decision, you might also be interested in:

Series 50 - Disclosure of Conflicts of Interest

Series 24 - ACT Reporting Requirements

Series 24 - Exchange Traded Funds (ETFs)

Series 51 - Definitions

Series 51 - Apprenticeship

Series 50 - The Value of Credit Enhancements

Series 65 - 4.2.2.1. Hedging with Protective Puts and Calls

Series 50 - Advantages of the BABs Program

Series 27 - Oath or Affirmation

Series 7 - 11.1. Communications with the Public

Series 53 - 4.2.4.7. MSRB Underwriting Assessment Fee

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I passed the Series 79 (on my first attempt) with help from Solomon Exam Prep. I found the study book and online exams to be quite helpful, and would recommend Solomon as a study resource for anyone.

Joseph H.; Denver, CO

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.