Series 54: 3.2.5.7. Circumvention Of The Rule

Taken from our Series 54 Online Guide

3.2.5.7. Circumvention of the Rule

Dealers, municipal advisors, and their associated persons are prohibited from directly engaging in any of the prohibited activities listed in the rule, but they are also prohibited from engaging in the activities indirectly through another pers

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 3.2.5.7. Circumvention Of The Rule, you might also be interested in:

Series 7 - 8.3.4. Waiver of Premium and Living Benefits

Series 24 - 2.2.1.7. Soft Dollar Arrangements

Series 52 - 5.1.4. Other Revenue Sources

Series 53 - Current Yield

Series 51 - Municipal Fund Disclosures

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 studied for the Series 6 with the STC material and failed the exam. I then was provided with the Solomon material and passed! The Solomon material aligned very nicely with the actual exam which was very helpful. Also, Their customer service is out of this world! The President of the company even helped visa email and phone calls with study recommendations. I am now going to use their study material as I prepare for the Series 63. I LOVE Solomon! Thank you so much for your care, support and guidance. I have also recommended that our company use the Solomon material for all exams.

Valerie Nolan, Cetera, Forest Grove, OR

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

I took 2500+ questions in your simulator and I passed the Series 63 on my first attempt. Your practice exams are fantastic!!!!!

Pavel Jezek, Denver, CO

I studied about 30 hours for the series 82 and passed with the help of the resources provided by Solomon Exam Prep. This company was very responsive with my questions and encouraging. I think they saved me at least 20 hours with their guide... I am very happy.

Matthew Khalili, Whyte & Co, Los Angeles, CA