Series 66: 8.1.4.1 Prospectus Delivery Requirements

Taken from our Series 66 Online Guide

8.1.4.1 Prospectus Delivery Requirements

To protect investors from potentially shady new issues, the SEC requires that a prospectus be delivered to each investor who purchases a newly issued security. When required, the prospectus must be delivered to the purchaser by the time a transaction settles, which is generally two business days after the actual sale tak

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: 8.1.4.1 Prospectus Delivery Requirements, you might also be interested in:

Series 63 - Prudent Investor Standards

Series 82 - 1.1.2.1.5. Placement Agent Compensation

Series 28 - Personal Investment Accounts

Series 53 - 3.6.5 Rule G-5—Transactions Must Conform to MSRB and Other Agency Rules

Series 50 - Taxing Discount Bonds

Series 53 - Types of Refunding

Series 53 - 1.1.6.2. SIPC Coverage Limitations

Series 66 - 4.5.6.2. Options Strategies

Series 65 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66

So, on this exam [Series 66] I used both your material and Kaplan. mainly because the bank had already paid for kaplan and I had grown accustom to your laid back writing style along with a great mp3 version of the book. Anyway, I got a fair amount of questions from both the kaplan material and your material before taking the test. I have to say that your material matched more closely to the test than I ever would have expected. I will be coming back to Solomon exam prep for ALL of my exam prep needs. :-) Thanks!

Marshall Wolfe, Hopkinsville, KY

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA

I used Solomon Exam Prep for both the Series 7 and the 66 which I took within a couple of months of each other. I smoked both tests with an 85% and an 88%. Well above the passing score. The books have just enough humor to keep things interesting and the practice tests and quizzes are phenomenal. If you want to get the most out of these programs pound out as many practice test as you can.

K. Nick Thoeni, Gilroy, CA

I could not have passed [the Series 66] without your very comprehensive program. Thanks!

Arthur Almassy, Scottsdale, AZ

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA