Series 54: 1.3.2. Advising On Continuing Disclosure Filings (Not Advice)

Taken from our Series 54 Online Guide

1.3.2. Advising on Continuing Disclosure Filings (Not Advice)

Consider a situation in which a broker-dealer is engaged as an underwriter for a new issue of bonds, and, while performing due diligence, the broker-dealer discovers that the municipality did not fulfill its continuing disclosure responsibilities for an outstanding bond issue for which the broker-dealer is not an underwriter. The SEC has determine

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 1.3.2. Advising On Continuing Disclosure Filings (Not Advice), you might also be interested in:

Series 65 - Regulation of Investment Adviser Representatives

Series 7 - 12.6 Restrictions on the After-Market of a Public Offering

Series 66 - Securities Exchange Act of 1934

SIE - 3.1.3.2. Mutual Fund Shares (A, B, and C Shares)

SIE - 10.2.8. Customer Complaints

Series 65 - Treasury Bill Quotes

Series 24 - 4.1.6.2. Free Writing Prospectus (FWP)

Series 24 - Some Notes About This Guide

Series 79 - 13.1.2.1. Partial Tender Offers

Series 51 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

Mark Melio, Melio & Company, LLC. Northfield, IL

I passed my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

I really would like to thank Solomon Exam Prep for helping me pass my Series 63 exam this past Friday! The website is easy to understand and I passed on the first time using their study guide!

Stephanie Oliver, MSRS, Minneapolis, MN

Thank you Solomon! I passed the Series 65 today on the 1st attempt. Same result as on the Series 63 I passed last year. The Solomon video lectures and exam simulator was awesome. It not only helped pass the test but helped me really understand all the material.

Gary Kilanowski. Scottsdale, AZ

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

I passed my Series 99 this past week on my first attempt. I had no previous brokerage and/or investment experience, just a background in finance.

I utilized the combination package with the textbook, video lectures, quiz simulator, and other materials. When I study for future FINRA exams I will utilize Solomon software and recommend it to my colleagues. I learn the most by listening and enjoyed the video lectures that had PowerPoint slides I could download and make notes on. The practice questions were fantastic at reinforcing the material and highlighting areas that I needed extra review on.

Tiffany Kovacevich, PNC Investments, Cleveland, OH