Series 82: 2.1.4. Member Supervisory Responsibilities And Procedures

Taken from our Series 82 Online Guide

2.1.4. Member Supervisory Responsibilities and Procedures

By Section 15(b)(4) of the Exchange Act, the SEC may take punitive action against any broker-dealer that has willfully violated, enabled a violation of, or failed to supervise a violator of securities law and regulations. The Act goes on to say that no supervisor will have failed in his duties if a supervisory system and procedures have been established and dutifully applied to

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 2.1.4. Member Supervisory Responsibilities And Procedures, you might also be interested in:

Series 52 - 6.2.2. Tax-Equivalent Yield

Series 14 - 2.8.1. Market Manipulation

Series 63 - Registration Exceptions

Series 7 - 8.2.2 Purchasing Annuities

Series 14 - Chapter 10 Practice Questions

Series 79 - A.6.3.1. Spread

Series 28 - Supervision of Supervisors

Series 66 - 7.7.4.2 Exemptions from Registration Under the Investment Advisers Act

Series 66 - Exercise

Series 26 - Market Makers

Series 65 - American vs. European Options

Series 50 - Swaptions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Dear Solomon Exam Prep, Thank you for your great exam prep materials for the Series 82 Top-Off Exam...I recently took it and passed.

Mordechai Slovin, Palladium Capital Advisors, Israel

I just passed the 82 on my first attempt. The study guide and unlimited practice study exams are priceless. I took full practice exams until I was scoring in the 90's and I'm glad I did. The questions on the actual exam were more difficult than any of my practice exams but I was able to think through them and apparently answer enough questions correctly. I truly wouldn't have passed this exam without all of the practice exams Solomon offered.

Adam Drewry, Parsonex Securities. Denver, CO

I took the Series 82 just four weeks after passing the SIE. I followed the study plan, took tons of the great practice tests, got great advice from Karen, and everything worked out well. It was literally the perfect test prep experience. The materials themselves were not overly long as with other groups, it was the exactly right amount, and the Exam Simulator is just awesome, best one of its kind I've ever used. 100% rating. Thank you, Solomon!

Jonathan Roth, DAK Capital/DAK Group, Rochelle Park, NJ

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX