Series 54: 3.2.5.10. Disclosure Requirements

Taken from our Series 54 Online Guide

3.2.5.10. Disclosure Requirements

To monitor compliance with the rule, the MSRB requires dealers and advisors to submit quarterly statements reporting all of their political contributions for the previous quarter, whether made by MFPs, MAPs, or non-MFP executives or non-MAP executive officers. They must also list all the issuers with whom they

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 3.2.5.10. Disclosure Requirements, you might also be interested in:

Series 66 - 5.1.1.2.4 Tax Basis on Shares After a Stock Split

Series 53 - Registered Bonds

Series 24 - Auction Bids and Offers

Series 66 - Right to a Residual Claim During Liquidation

Series 52 - Rule G-1—Municipals Activities in Banks Must Be Done in a Separately Identifiable Department

Series 65 - 3.1.3.2 Mutual Fund Shares (A, B, and C Shares)

Series 63 - Appendix A

Series 52 - 8.4.2. MSRB Rules

Series 6 - Function Three

Series 65 - 7.1.1.2 Negotiated Market

Series 27 - Other Liabilities

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

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA

I passed my exam on the 1st attempt!!! Solomon Prep was easy to read and with the help of the wonderful professors and owners, anything that needed clarification, they immediately responded. I would recommend Solomon to any college.

Renee Anderson

You guys produce a great product, and your 82 materials really saved my life. Thanks.

Joshua M. Salisbury, Salisbury Financial, Atlanta, GA

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65

I just passed the Series 6. The Solomon Audio/CD set was essential for me as I spend 1.5 hours per day in my car, so that became my study time! Thank you for providing an audio/cd version! I have just ordered the Series 65 set as well.

Ambia Peoples, North Florida Financial Corp, Jacksonville, FL