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 - Working Capital

Series 7 - 15.3.2.1 The Price Decreases

Series 54 - 3.1.5. The Appropriate Regulatory Agency

Series 63 - Suggested Notecards

Series 50 - Blue Sky Laws

Series 28 - Short Selling Rules

Series 6 - 4.3.10.3. Zero Coupon Bonds

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

I passed my Series 99 this past week on my first attempt. I had no previous brokerage and/or investment experience, just a background in finance.

I utilized the combination package with the textbook, video lectures, quiz simulator, and other materials. When I study for future FINRA exams I will utilize Solomon software and recommend it to my colleagues. I learn the most by listening and enjoyed the video lectures that had PowerPoint slides I could download and make notes on. The practice questions were fantastic at reinforcing the material and highlighting areas that I needed extra review on.

Tiffany Kovacevich, PNC Investments, Cleveland, OH

The Solomon Exam Prep Series helped me pass the Series 6 the first time. I used the 4 week time frame and it helped keep me on track to get the test completed when I wanted. I even received a phone call from Jeremy Solomon, the president of the company. He gave me pointers on how to study and prepare for the exam. I was also able to submit questions and get answers almost immediately. Thanks again.

Cathy Roeber, WoodmenLife, West Point, NE

I got my undergrad degree in musical theater, never having studied or practiced anything regarding securities. I've been working as an actor over the last 10 years, and figured the Covid-19 quarantine presented an opportunity to learn something new. Solomon took me from knowing NOTHING about securities to passing the SIE on the FIRST TRY! I finished in under an hour and felt extremely confident about the entire test. I read every chapter twice, watched all the video tutorials, listened to the audiobook while driving, and took a large amount of practice exams. Do this - and you will be over prepared - I promise. I will absolutely be using Solomon again for any top-off exams!

Corey Cott, Philadelphia, PA

I passed the Series 7 with an 86 percent! Solomon's exam prep material is the best. I highly recommend the online study guide and exam simulator.

Kim, Las Vegas, Nevada

Passed that bad boy (Series 79) weeks ago with an 86, kicked its ass. I hate leaving that much room, means I wasted time. Thanks for everything.

Jeff S., Upper Nyack, NY

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

Series 54: 3.2.5.10. Disclosure Requirements

Taken from our Series 54 Online Guide

3.2.5.10. Disclosure Requirements

Since you're reading about Series 54: 3.2.5.10. Disclosure Requirements, 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 →