Series 54: 3.1.5. The Appropriate Regulatory Agency

Taken from our Series 54 Online Guide

3.1.5. The Appropriate Regulatory Agency

For municipal advisors, the “appropriate regulatory agency” is the SEC. This means that the SEC will be the enforcement agency for all MSRB rules and securities laws that apply to municipal advisors.

MSRB Rule D-14

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 3.1.5. The Appropriate Regulatory Agency, you might also be interested in:

Series 65 - 1.3 International Economic Factors in Securities Markets

Series 79 - 8.2.1. The Preliminary Prospectus

Series 24 - 3.10.4. Required Minimum Distributions (RMDs)

Series 24 - Third-Party Tender Offers

Series 50 - Yield to Put

Series 24 - Selling Securities Before the Security Opens for Trading

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 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

The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL

Solomon Exam Prep is the "go-to" study guide for any busy professional in our industry. Extraordinary customer service and responses to your questions via email. Excellent flow of subjects, quizzes, test and audiobooks for on-demand refresh. Don't settle for any other test platform for our industry. The goal is to pass the test and they have the staff and platform to help you achieve your goal.

Robert Jones, US Capital Global. San Francisco, CA

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX

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

Series 54: 3.1.5. The Appropriate Regulatory Agency

Taken from our Series 54 Online Guide

3.1.5. The Appropriate Regulatory Agency

Since you're reading about Series 54: 3.1.5. The Appropriate Regulatory Agency, 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 →