Series 3: 7.4.2.5. Filing Dates For Disclosure Document

Taken from our Series 3 Online Guide

7.4.2.5. Filing Dates for Disclosure Document

All information contained in the disclosure document must be current as of the date of the document, except for performance information, which must not be more than three months old as of the date the document is delivered. Nor may the disclosure document be used by the CPO after it has been in use for 12 months.

If the commod

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.4.2.5. Filing Dates For Disclosure Document, you might also be interested in:

SIE - Retiring Representatives

Series 65 - 1.4.5.1.4 Net Present Value (NPV)

Series 6 - 5.2. Closed-End Funds

Series 26 - Registration of Investment Company Securities

Series 79 - Form S-3: Seasoned Issuers

Series 50 - Issuer Disclosure

Series 27 - FinCEN Records and Reports

Series 24 - The Timeline for Registering Securities

Series 7 - 3.6.9. Rule G-9—Preservation of Books and Records

Series 7 - 8.2.7.3 Tax-Qualified Variable Annuities

Series 26 - Retiring Representatives

Series 63 - 1.1.2 Registration of Investment Advisers

Series 7 - 8.2.13. Selling Annuities

Series 7 - 15.3.3.1 Naked Short Selling

Series 3 - 7.2.2.3. Non-Cash Margin Risk Disclosure

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

Finally! Having used the study material provided by my firm, I couldn't get over the passing level. Came out of pocket for Solomon, and passed [the Series 24] on the first effort - Thank you!

Scott Krogmann, Regions Bank, Knoxville, TN

I'd utilized a competitor last year while attempting to retrieve my Series 7 license. I attempted three times using their material but resulted in failure. After using Solomon I passed my SIE with no issue and decided to use Solomon again because I believed they provided the essential material to help you achieve. After using Solomon once again, I passed my Series 7 on the first try. I will be using them again to tame the beast they call the 24.

Zach Sloan, Cambridge Investment Research, Fairfield, IA

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