Series 7: 3.3.3.2 Distribution Of Profits

Taken from our Series 7 Top-off Online Guide

3.3.3.2 Distribution of Profits

When syndicate members receive an order for a sale, they report it to the lead underwriter, who records and confirms the order. Syndicate members must report the type of order (discussed later) and, for

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 3.3.3.2 Distribution Of Profits, you might also be interested in:

Series 22 - Disclosure of Control Relationship with Issuer

Series 65 - 1.3 International Economic Factors in Securities Markets

Series 65 - 3.7.4.8.1 Accumulation Phase for a Nonqualified Annuity

Series 14 - 7.2.1.1. Definition of Broker-Dealer

Series 53 - Transactions with Sophisticated Municipal Market Professionals (SMMPs)

Series 26 - Acceptance, Waiver, and Consent

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Feels so good to have passed! (Series 7) It was about as challenging as I thought it would be and I'm glad the study material prepared me for understanding the concepts, and not just memorizing terms and formulas. Only changed two of the 15 answers for questions I flagged for review and finished it with more than 90 minutes to spare. The relief I felt upon seeing "Pass" was awesome!
Used Solomon materials for both the SIE and S7. So grateful to these materials for helping me achieve a passing score on my first attempts of both exams. The study guide and videos were thorough, comprehensive and easy to follow. I found the pie charts extremely useful in helping me identify areas where I needed more study, and was grateful for the Pass Probability feature in giving me a bit of extra confidence before sitting for the exam. I would absolutely recommend all of their materials to anyone taking this journey.

Andrew Nerys, Square Inc. San Francisco, CA

Just passed the series 7 today! Solomon was a huge help, as I used the practice exams exclusively. When preparing for this exam, make sure to allocate ~70% of your time on compliance, opening accounts etc. Looking forward to passing the series 66. I will continue using Solomon!

Blake Rossman, True Wealth Financial Partners. Fircrest, WA

When I was studying Series 7 TOP OFF, I enjoy reading everyone's reviews. It was another way of encouraging me. Thank you Solomon, help me pass my 7 ! I followed the four weeks schedule, didn't do anything more or less. Jeremy contacted me and share me with his strategy. I really appreciated it! Solomon helped me pass 63 two years ago. I am buying my s65 now! Thank you again for all your help!

Nora, PA

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC