Series 3: 7.6.1.4. Settlement

Taken from our Series 3

7.6.1.4. Settlement

Until a chairman of the hearing panel has been appointed, the respondent may submit any proposed settlement to the Business Conduct Committee. After that date, any proposed settlement offer must be submitted to the hearing panel. Settlement offers may also be submitted to the Appeals Committee if the matter is b

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.1.4. Settlement, you might also be interested in:

Series 66 - Net Present Value (NPV)

Series 6 - 2.1.3.2. Privacy Disclosure Requirements

Series 65 - 5.2.3.4 Current Investments

Series 7 - 4.10 Taxation of U.S. Treasuries and Municipal Securities

Series 66 - 2.4.14.2. Refunding of Bonds

Series 27 - Chief Compliance Officer and Compliance Certification

Series 66 - 7.10.3 Limits on Employment or Association

Series 28 - FinCEN Records and Reports

Series 50 - Form G-37x

Series 66 - 9.4.14 Duty of Best Execution

SIE - Conditions of Individual Registration

Series 3 - 6.3. Order Placement

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

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

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I'm incredibly grateful I chose Solomon Exam Prep to prepare me for the Series 79. The materials are very thorough and up-to-date, and the staff incredibly dedicated, knowledgeable and helpful - both of which are extremely necessary to pass this difficult exam. And, I passed! Thank you Solomon!

Krista Barbour, Boulder, CO

I thought the Series 79 materials were top notch. The Solomon practice exams were pretty spot on to what I encountered when I took the exam. Your course was key to my passing the exam on the first try. Thank you and money well spent.

Jeffrey Bartlett RSA Capital, Mequon, Wisconsin

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

Series 3: 7.6.1.4. Settlement

Taken from our Series 3

7.6.1.4. Settlement

Since you're reading about Series 3: 7.6.1.4. Settlement, 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 →