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Our newsletter will now be published the first Monday of the month. Here are your headlines for the month of April.

Solomon Exam Prep Updates

 

For over 10 years, Solomon Exam Prep has been devoted to helping students to prepare effectively for various securities and insurance licensing exams. We pride ourselves on our customer service and easy-to-use products that make the studying process as painless as possible.  

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"I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent." -William Crull, Metairie, LA

Testimonial Tuesday: April 8, 2014 Edition

  

"I took another vendors 24 course but it did not compare to how Solomon Exam Prep for Series 24 prepared me. The material and practice exams, especially the timed exams, were broken up by sections, similar to the FINRA Exam. This really helped in allowing me to understand which section(s) I needed to spend more time on/hit harder. Thank you Solomon!!!"

-Jim Ruckman, Mass Mutual

 Testimonial Tuesday: April 15, 2014 Edition

 

"Very good material and well planned to help you pass the first time (Series 65).  The audio tape structure is easy to  listen to along with the reading material. Clear and to the point. Nothing dry about your material. Thank you. Highly recommend." -Carlos Acosta, GoldBox Wealth, San Antonio, TX

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Which of the following are correct dollar minimums for the Bank Secrecy Act's requirements for broker-dealers?

Study Question of the Week: April 9, 2014 Edition

For the question below, assume that each of the answers is solely for the benefit of the recipient and are classified as gifts, not business entertainment.

Which of the following gifts would be a violation under Rule 3220:

 

The price of a 10b-18 repurchase transaction:

Study Question of the Week: April 23, 2014 Edition 

XYZ stock is trading at $10/share. ABC Co. makes a partial tender offer for XYZ stock at $11/share. John Johnson holds 1000 shares of XYZ stock. After ABC Co. announces the tender offer, John writes 10 calls of XYZ stock at $10.50/share. John then tenders as many shares of XYZ stock as he is legally permitted to. How many shares of XYZ does John tender?

Study Question of the Week: April 30, 2014 Edition 

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Exam Alert: FINRA Updates Regulatory Extension (REX) System 

Effective April 2, 2014, FINRA has updated its Regulatory Extension (REX) system for allowing firms to submit extension of time requests under the Customer Protection rule. 

 

Exam Alert: Hart-Scott-Rodino Act Thresholds Updated for 2014 

The Hart-Scott-Rodino Act specifies filing requirements for mergers and acquisitions based on certain monetary thresholds. These thresholds are adjusted for inflation on an annual basis. As of February 24, 2014, the thresholds are now as follows...

  

Exam Alert: FINRA Updates and Consolidates Rules Regarding Customer Protection, Callable Securities, and Securities Loans 

Effective May 1, 2014, FINRA will put into place new consolidated financial and operational rules, based on existing NYSE and NASD rules. 

 

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We are excited to announce that we now offer an Online Exam Simulator for the Series 51! With over 650 questions, you can test yourself by section as well as take unlimited full timed exams. 

 

  

Studying for your Series 53 Municipal Securities Principal Qualification Exam? We are completing our Exam Study Guide now and you can pre-order the digital version on our website: https://solomonexamprep.com/series53/

  

 


SEC Updates

SEC Charges CVS With Misleading Investors and Committing Accounting Violations

April 8, 2014

 

SEC, Criminal Authorities Halt Florida-Based Ponzi Scheme Targeting Investors Through YouTube Videos 

April 8, 2014

 
April 14, 2014


SEC Names David Gottesman as Deputy Chief Litigation Counsel 

April 15, 2014

 

April 15, 2014


SEC Charges Former BP Employee with Insider Trading During the Deepwater Horizon Oil Spill 

April 17, 2014

 

April 17, 2014

 

April 17, 2014

 

April 21, 2014

 

Mauri Osheroff to Retire After Nearly 40 Years at SEC

April 23, 2014

April 23, 2014

April 23, 2014

April 30, 2014

May 2, 2014


FINRA Updates

Other Updates
April 10, 2014
Robert W. Baird & Co. Inc. has agreed to merge its regional brokerage operation, one of the largest in the U.S., with a Seattle-based firm that manages $10 billion. 
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