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Our newsletter is published the first Monday of the month. Here are your headlines for the month of November.
 
 
 
 
Solomon Exam Prep Updates
 
 
 
 

Effective October 27, 2014, FINRA has revised its arbitration rules regarding when arbitrators may refer matters to FINRA for disciplinary investigation. Arbitrators may now make such referrals during an arbitration if they become aware of an issue that they believe poses a serious threat that will harm investors unless immediate action is taken. Previously, arbitrators could not make referrals until the conclusion of a case.​
 
 
 
 

"Karen and Team Solomon, thank you so much for all your support. Your Series 7 program was easy to understand. The "Ask the Professor" was invaluable for the Series 66. You are the program of choice for our office." -Kirk, Platinum Wealth Strategies, PA

"I passed the 24 the first time with the help of the Solomon materials. The online course and the exams really helped focus in and clarify what was important. I've recommended them to all of my colleagues!" -Corrinne Kaucher, Austin, TX

 
 
 
 
Study Question of the Month – November

As the price of the underlying stock of a convertible debenture goes up:
I. The parity value of the bond increases.
II. The current yield of the bond goes up.
III. The parity value of the bond decreases.
​IV. The current yield of the bond goes down.

Answers:
A. I and III
B. III and IV
C. II and III
D. I and IV

Correct Answer: D. I and IV

Rationale: With a fixed conversion schedule, the parity value of the bond increases along with the price of the underlying stock. Since the nominal yield of the bond is fixed, the current yield, expressed as a percent of the bond's price, goes down.
 
 
 
 

If you have chosen a career in the financial industry, then you probably know that passing a Series exam is no easy feat. Solomon Exam Prep has been helping their students pass securities exams for over a decade.  For many years Professor Karen Solomon (PhD, University of Chicago) taught and researched how the brain learns and memorizes information. Based on her research, Solomon Exam Prep has compiled a few methods to help students retain what they have studied: 
 
 
Keep Reading
 
 
 
SEC Updates
 
 
 
 
November 3, 2014

November 3, 2014

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November 6, 2014

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November 12, 2014

November 14, 2014

November 17, 2014

November 17, 2014

November 17, 2014

November 18, 2014

November 19, 2014

November 20, 2014

November 20, 2014

November 21, 2014

November 21, 2014

November 25, 2014

November 26, 2014
 
 
 
 
 
FINRA Updates
 
 
 
 
October 30, 2014

November 6, 2014

November 17, 2014

November 18, 2014

November 24, 2014
 
 
 
 
 
MSRB & NASAA Updates
 
 
 
 
November 3, 2014

November 4, 2014

November 12, 2014
 
 
 
 
 
Solomon Exam Prep
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