newsletter header

Greetings!

Here are your latest headlines and updates from the last week!

Solomon Exam Prep Updates 

 

"I just passed the Series 79 exam. You guys rock!" -Bin Xie, Houston, TX

 

Testimonial Tuesday: November 26, 2013 Edition

 

_________________________________________________________

 

Exam Alert: SEC Requires Municipal Advisers to Register

Effective January 13, 2014, the SEC will put into place permanent rules to require the ongoing registration of municipal advisers. A municipal adviser is defined as a person that either...
 _________________________________________________________ 

 

Given the following assumptions for stock ABC, what is its expected return using the Capital Asset Pricing Model (CAPM)? Risk Free Rate: 2%, Expected Return on general stock market: 10%, Beta: .5, Sharpe Ratio: 3.

Study ? of the Week: November 27, 2013 Edition 

Relevant to the Series 65, Series 66, and Series 79.

READ MORE

_________________________________________________________ 


 

Looking for Cyber Monday savings? We are offering savings every day through the end of the year!

 

Buy any 3 study packages, get one Essentials Study Package free! Call today to take advantage of this offer,

503.601.0212.  

 


SEC Updates
The Securities and Exchange Commission today charged a New York-based penny stock financier and his firms with violating the federal securities laws when they purchased billions of shares in a pair of microcap companies and failed to register them before they were re-sold to investors for sizeable profits.

  _________________________________________________________

  

The Securities and Exchange Commission today announced charges against two Houston-based investment advisory firms and three executives for engineering thousands of principal transactions through their affiliated brokerage firm without informing their clients.  

  _________________________________________________________


The Securities and Exchange Commission today charged oilfield services company Weatherford International with violating the Foreign Corrupt Practices Act (FCPA) by authorizing bribes and improper travel and entertainment for foreign officials in the Middle East and Africa to win business, including kickbacks in Iraq to obtain United Nations Oil-for-Food contracts. 

  _________________________________________________________

 

SEC Announces Fraud Charges Against Detroit-Based Money Market Fund Manager

The Securities and Exchange Commission today announced fraud charges against a Detroit-based investment advisory firm and a portfolio manager for deceiving the trustees of a money market fund and failing to comply with rules that limit risk in a money market fund's portfolio. 

READ MORE

STAY CONNECTED

Like us on Facebook    Follow us on Twitter   View our profile on LinkedIn    Find us on Google+    View our videos on YouTube    Find us on Yelp    Visit our blog
newsletter header