Our newsletter is published at the beginning of the month. Here are your headlines for the month of May.
 
 
 
 
 
Solomon Exam Prep Updates
 
 
 
 

"The folks at Solomon Exam Prep were incredibly responsive and helpful to any questions I had. Their practice exams helped me prepare for (and pass) the Series 62. I really appreciate all the help along the way.​"
- Marcia Kaufman
State of Israel Bonds
Dallas, TX
 
 
 
 
 

Question: According to the Code of Arbitration, excluding claims alleging discrimination or sexual harassment, arbitration of disputes is mandatory for all of the following except:

Answers:
A. Disputes between two member firms
B. Disputes brought by member firms against customers, if required by contract
C. Disputes brought by member firms against customers for claims in excess of $25,000
D. Disputes brought by associated persons against customers, if the customer consents

Correct Answer: C. Disputes brought by member firms against customers for claims in excess of $25,000

Rationale: Arbitration of disputes involving customers is mandatory only if the customer consents to arbitration or if required by contract. Claims alleging discrimination or sexual harassment cannot be arbitrated, except by agreement of all disputing parties.

Submit your answer every month to info@solomonexamprep.com to be entered to win a $10 Starbucks gift card. 
 
 
 
 
 

On May 28, 2015 at the FINRA annual conference in Washington, DC, a panel of FINRA and industry representatives discussed proposed changes to restructure FINRA's representative-level qualification program and fielded questions from attendees present at the meeting.​
 
 
 
 
 
We recently released a new Series 63 Video Lecture. Here is a sample from the section on Registration of Securities:
 
 
 
 
 
FINRA, NASAA & MSRB Updates
 
 
 
 
April 30, 2015

May 1, 2015

May 6, 2015

 
 
 
 
 
SEC Updates
 
 
 
 
May 5, 2015

May 6, 2015

May 6, 2015

May 8, 2015

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May 11, 2015

May 12, 2015

May 14, 2015

May 14, 2015

May 14, 2015

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May 18, 2015

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May 26, 2015

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May 28, 2015

May 28, 2015

May 28, 2015

May 28, 2015
 
 
 
 
 
Solomon Exam Prep
6750 SW Franklin Street, Suite A
Portland, OR 97223
(503) 601-0212
info@solomonexamprep.com
Office Hours: Monday - Friday: 8:00 AM to 4:30 PM (Pacific Time)
 
 
        
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