Series 7: 3.3.1.1. Key Players

Taken from our Series 7 Online Guide

3.3.1.1. Key Players

To help the issuer prepare the issuing material and assure investors that the material is accurate and complete, the issuer will hire independent consultants from outside the municipality: a financial advisor and a bond counsel.

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 3.3.1.1. Key Players, you might also be interested in:

Series 79 - Issuers and Distribution Participants: Regulation M

Series 51 - Submission of the Final Official Statement

Series 24 - SEC Rule 145: Transactions That Do and Don’t Require Registration

Series 52 - 8.4.2.4.2. Reporting and Recordkeeping Requirements

Series 27 - Common Stock and Other Equity Securities

Series 82 - Effect of a Registered Representative’s Suspension, Revocation, Cancellation, or Bar

Series 7 - Exercise

Series 65 - Balance of Payments

Series 65 - Steps in a Typical Securities Trade

Series 53 - Restrictions on Financial Advisors

Series 24 - Haircuts

Series 14 - 2.9. FINRA Trading Conduct Rules

Series 66 - Management Companies: Closed-End Funds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

Jeremy, I passed the Series 7 yesterday with an 87% using only your book and online practice tests. Thanks!

Aaron Johnson, Humble, TX

Used Solomon for my second & third time. First time I used a different company & day of test, I had no idea what I was reading. Second time, I bought Solomon a little too close to my test date, failed but had a higher score. Third Time, used strictly Solomon & passed! Cant thank Solomon enough, will recommend to everyone!

Ashley F, Citi. New York, NY

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

I passed first try! Three hours and forty-five minutes might seem like a long time, but it flew by. The Solomon Exam Prep conditioned me very well. Utilizing the chapter quizzes and practice exams really helped apply my learning, and also helped with time management. (Series 7)

Ryan Thibault, PNC Investments. Lakewood, OH.

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

Series 7: 3.3.1.1. Key Players

Taken from our Series 7 Online Guide

3.3.1.1. Key Players

Since you're reading about Series 7: 3.3.1.1. Key Players, 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 →