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Our newsletter is published the first Monday of the month. Here are your headlines for the month of June.

Solomon Exam Prep Updates

  

 Personal Finances and Your Registration

Customers sometimes ask whether a poor credit rating or a personal bankruptcy could negatively impact their ability to get licensed to work in the securities industry. Here is some information about how your personal financial situation may affect your registration process. 

 

Options Trading Before Merger and Acquisition Announcements Indicate Pervasive Insider Trading 

The study's results suggest that insider trading is pervasive. The study states that the odds of observing such unusual trading activity by chance is extremely low - "about three in a trillion." 

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 Testimonial Tuesday: June 3, 2014 Edition

"I used Solomon Exam Prep for both the Series 7 and the Series 66 which I took within a couple of months of each other. I smoked both tests with an 85% and an 88%. Well above the passing score. The books have just enough humor to keep things interesting and the practice tests and quizzes are phenomenal. If you want to get the most out of these programs pound out as many practice test as you can." -K. Nick Thoeni, Gilroy, CA

  

 Testimonial Tuesday: June 17, 2014 Edition  

"I used the Solomon Series 63 prep and passed with confidence. I highly recommend following the 10 day study plan." -Melissa, Spokane, WA 

  

Testimonial Tuesday: June 24, 2014 Edition

"I passed the exam [Series 99] the first time - Solomon Exam Prep helped me to a great extent and I have referred Solomon to my colleagues." -William Ching, Citi, Hong Kong

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Study Question of the Week: June 4, 2014 Edition

Under Rule 144, which of the following persons would be subject to holding period limits on a re-sale?

Study Question of the Week: June 12, 2014 Edition

All of the following is true of the Securities Act of 1933 except?

 

Jenny lives in Minnesota. She is comparing a Washington state municipal bond that pays 5% to similar corporate bonds. She has a federal tax rate of 20% and a State rate of 4%. What yield will the corporate bond have to pay to be equivalent to the municipal bond?

Study Question of the Week: June 25, 2014 Edition 

Why would a bond issuer decide to issue an advance refunding bond?

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Studying for your Series 51 MSRB Municipal Fund Securities Limited Principal Qualification Exam? Check out our brand new Exam Study Guide, available now!

  

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Our Series 6 Audiobook has been completely updated for 2014!   

  

  

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Qualified Dividends Overview
Qualified Dividends Overview


SEC Updates
June 3, 2014

June 3, 2014

June 3, 2014

June 6, 2014

June 6, 2014

June 16, 2014

June 20, 2014

June 23, 2014

June 25, 2014

June 25, 2014

June 25, 2014

June 25, 2104

June 27, 2014

June 27, 2014

FINRA Updates
June 5, 2014

June 16, 2014

June 17, 2014

June 25, 2014
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