Series 7: 11.3.6. Forwarding Securities Information And Proxy Materials

Taken from our Series 7 Online Guide

11.3.6. Forwarding Securities Information and Proxy Materials

Member firms that hold title to a security on behalf of a beneficial owner are required to forward all information received from the issuer of that security (such as annual reports and information statements) to the beneficial owner or the beneficial owner’s investment adviser. A b

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The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
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Cornell Capital Management

David Hartzell, Cornell Capital Management, New York

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