Series 7: 18.3.2.3 Persons Exempt From Registration

Taken from our Series 7 Top-off Online Guide

18.3.2.3 Persons Exempt from Registration

Individuals associated with a member firm who are not required to be registered with FINRA are clerical personnel, persons who are not actively engaged in the investment banking or securities business, persons whose functions relate solely to the member’s need for nominal corporate officers or for

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 18.3.2.3 Persons Exempt From Registration, you might also be interested in:

Series 24 - Reporting System for FINRA

Series 51 - Prohibited Activities

Series 65 - Agents Representing Broker-Dealers

Series 24 - Bank Secrecy Act (1970)

Series 65 - Chapter 7 Practice Question Answers

Series 26 - Non-Branch Locations

Series 28 - Exercise

Series 51 - Principal Requirements

Series 65 - 7.1.5.1.3. Stop Orders

SIE - 9.2.15.4. Content Standards

Series 63 - Practical Application

Series 50 - Tax Increment Bonds

Series 3 - 4.2.1.2. Options Clearing

Series 63 - Practice Exam #2 Answers

Series 7 - 18.3 FINRA: Requirements and Conditions of Membership

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

I passed first try! Three hours and forty-five minutes might seem like a long time, but it flew by. The Solomon Exam Prep conditioned me very well. Utilizing the chapter quizzes and practice exams really helped apply my learning, and also helped with time management. (Series 7)

Ryan Thibault, PNC Investments. Lakewood, OH.

I would not have passed the Series 7 top off without the Solomon materials. The structure of the questions was the closest out of all the programs I tried and their customer support is top notch. I will definitely be back! Thank you!!

Lauren J, Westlake, TX

Jeremy, I passed the Series 7 yesterday with an 87% using only your book and online practice tests. Thanks!

Aaron Johnson, Humble, TX

I found encouragement along the way from reading other people's testimonials, so payback is to write one of my own. Solomon is the gold standard for customer service. I passed the 66, SIE first tries -- received a 69% on the 7 (failed), but passed on the 2nd attempt. I'm in awe over the outreach I received from day 1 but especially from Jeremy on how to move forward after falling short on the Series 7 - followed his advice - one of which was to get the accompanying videos and passed. Watching/studying the Chapter 5 video had a big impact. I also printed the questions I got wrong that I particularly struggled with while taking the online exams, printed and/or turned them into flashcards, then taped many of them around the house. It forced me to constantly revisit the information and moved me past a superficial understanding. I'll take a messy-looking home for a short time than having to retake a 3 hour and 45 minute exam.

Brook Langston, Everspire. Salt Lake City, UT

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA