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

Solomon Exam Prep Updates

   

Exam Alert: FINRA to Change Series 24 Exam

On July 29, 2014, FINRA filed a proposed revision to the content and structure of the Series 24 General Securities Principal exam. This will update the Series 24 to include new rules and laws, including the adoption of rules from the consolidated FINRA rulebook. 


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 Testimonial Tuesday: August 5, 2014 Edition

"Very thorough preparation for Series 62 Exam.  Numerous sample tests that provide full answers that continue the learning process in a more interactive way than just reading the materials." - Jay Morency, The Arc Group, Gurnee, IL

 

Testimonial Tuesday: August 19, 2014 Edition
 
"I was very apprehensive about the Series 24 exam prior to taking it. Everyone I knew who had taken it informed me that it was an incredibly difficult test, with questions that were meant to trick you. After following Solomon's six week study outline and making flashcards for my weakest areas, I was averaging in the high 80's on the Solomon practice exams. That gave me the confidence I needed to walk into the test center feeling prepared, and the knowledge I needed to walk out of the test center having scored an 88. I am now recommending the Solomon Series 24 materials to everyone at the office!"  - Janie R., Austin, TX 

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 Study Question of the Week: August 6, 2014 Edition

A client wants to open a custodial IRA account for his minor daughter who has earned a couple thousand dollars babysitting. Which of the following would be the best choice?

Study Question of the Week: August 14, 2014 Edition
 
When money is regularly put into an escrow account in order to redeem the bonds before maturity this is called: 

Study Question of the Week: August 20, 2014 Edition
 
To qualify as a REIT, a company must do all of the following EXCEPT: 

Study Question of the Week: August 27, 2014 Edition
What is the maximum civil penalty that can be imposed on a firm when an employee engages in insider trading? 

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SEC Updates
August 4, 2014

August 5, 2014

SEC Charges Former CEO of ConvergEx Subsidiary in Scheme to Deceive Customers About Trading Fees
August 7, 2014

SEC Names Thomas M. Piccone to Lead National Exam Program in Denver Office
August 8, 2014

SEC Announces Charges Against N.Y.-Based Brokerage Firm and Founder Despite Attempts to Mislead Examiners
August 8, 2014

Statement on Jury Verdict in Florida Federal Court Following Trial Against Orchestrator of Pump-and-Dump Scheme
August 8, 2014

SEC Charges Bahamas-Based Brokerage Firm and President With Facilitating Fraudulent Scheme by Hedge Fund Manager
August 8, 2014

SEC Charges Kansas for Understating Municipal Bond Exposure to Unfunded Pension Liability
August 11, 2014

Robert Keyes, Senior Officer in New York Regional Office, to Retire After Nearly 22 Years of Federal Service
August 12, 2014

SEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client
August 14, 2014

August 14, 2014

August 15, 2014

August 18, 2014

August 19, 2014

August 20, 2014

August 21, 2014

August 22, 2014

August 26, 2014

August 26, 2014

August 26, 2014

August 27, 2014

August 27, 2014

August 28, 2014

August 29, 2014

August 29, 2014

August 29, 2014

FINRA Updates
July 23, 2014

August 14, 2014

August 14, 2014

August 18, 2014

Other Updates
August 8, 2014
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