Series 65: 1.4.3.6. Form 144

Taken from our Series 65 Online Guide

1.4.3.6. Form 144

Form 144 must be filed in most instances when an insider sells more than 5,000 shares (or $50,000 worth of stock). An insider is someone who is an officer, director, or someone who owns more than 10% of the company. Naturally, when an insider is selling his shares, other investors might want to pay closer attention and may want to follow suit.

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: 1.4.3.6. Form 144, you might also be interested in:

Series 65 - Exercise

Series 28 - Delivery of Securities with Draft Attached

Series 66 - Exercise

Series 14 - 2.9. FINRA Trading Conduct Rules

Series 51 - Exercise

Series 54 - Chapter Three Practice Question Answers

Series 63 - 1.3.1.3. Net Capital Requirements

Series 24 - 5.5.2.3.2. Two-Dollar Brokers

Series 79 - Private Placement Memorandum

Series 24 - Special Filing Requirements

Series 65 - 1.4.3. Corporate SEC Filings

Series 63 - Practical Application

Series 53 - Recordkeeping Requirements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I used you guys when I sat for the Series 7 two weeks prior and passed that bad boy too. The Solomon books are awesome and allowed me to pass these challenging exams [Series 65 and Series 7] the first time. Highly recommended. Thank you.

Jonathan Freehill, Houston, TX

I took the exam three days after we spoke. I had to drive 75 miles to the test center. I finished the exam in a little under two hours and did not want to second guess myself in changing any of my answers. Upon completion of the exam, and subsequent grading I saw a 65 on the screen and I couldn't believe I did so poorly. However, the 65 I saw stood for the Series 65 not my grade and several lines below was my grade which was an 87. Thus I passed with a minimum amount of study looking over your online exam simulator. The questions were very similar to your review questions and I am sure that a candidate who reviews your questions and understands the application will have no problem passing the exam. Thanks for a great product.

Jeff Dampf

Just wanted to let all of you know that I passed the 65 on 4/19/10. I got a 76%! Not the highest score, but good enough!!! Thank you so much for all your help. Your study materials (book, audio, and exam simulator) were instrumental in my passing this test the first time! I'll be sure to let any future test takers in my office know about your products! Thanks again!

Sandy Widmer, BGR Financial Group LLC, Tucson, AZ

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

I passed the Series 65 exam on my first attempt. Your practice exams really helped. Thanks again.

Colin Tucker, Little Rock, AR

I truly wish I had tried Solomon Exam Prep earlier! Started studying for the Series 65 exam with a different company and missed passing the test by 4 questions. I was pretty disappointed because my study materials, especially the quiz generator, weren't a great reflection of what the test would actually be like. But Solomon's Exam Simulator was the KEY to passing my second go-around! Questions were very similar to the actual exam and I managed to boost my score by 10% from the first time, only using the Solomon materials for less than a week! HIGHLY recommend this to anyone in need of 65 materials!

Hannah Cash, Denali Wealth Management, Indianapolis, IN