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

"I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam."

-Cachet J., Cleveland, OH
 
 
 
 
 

Question: Which of the following would most likely be classified as a branch office?

Answers:
A. The floor of a registered exchange
B. A vacation home where the registered representative works for 45 business days a year
C. A customer service office where no sales activities are conducted
D. A location used primarily for non-securities activities and from which 25 securities transactions are effected a year

Correct Answer: B. A vacation home where the registered representative works for 45 business days a year

Rationale: A branch office is any location where one or more associated employees is in the business of soliciting or effecting (but not executing) the purchase or sale of any security.

A location outside of a primary residence, for example, a vacation home, is considered a non-branch location as long as it is used for securities business fewer than 30 business days per year.

The floor of a registered exchange is also considered a non-branch office if it is where a member firm conducts business with public customers.

Other examples of non-branch offices include:
  • Any location that is used primarily to engage in non-securities activities and from which the associated persons effect no more than 25 securities transactions in any one calendar year (provided that any retail communication identifying such location also sets forth the address and telephone number of the location from which the associated persons conducting business at the non-branch locations are directly supervised)
  • Any office location established solely for customer service and/or back office type functions where no sales activities are conducted
Congratulations to Alexa M. this month's Study Question of the Month winner!
 
 
 
 
 
Solomon Exam Prep is excited to offer Live Series 6 and Series 63 Classes in Portland, Oregon June 15-17, 2016!

The Live Class Package not only includes your admission into the class, but also our digital Exam Study Guide and Online Exam Simulator. The live, in-person classes will cover the major topics you will encounter on these exams.

Reserve your spot today!

Series 6 Live Class
Series 63 Live Class:
 
 
 
 
 
FINRA, MSRB & NASAA Updates
 
 
 
 
April 5, 2016

April 7, 2016

April 15, 2016

April 19, 2016

April 20, 2016

April 25, 2016

April 25, 2016

April 27, 2016
 
 
 
 
 
Other News
 
 
 
 
 
 
 
 
 
SEC Updates
 
 
 
 
April 4, 2016

April 7, 2016

April 11, 2016

April 11, 2016

April 13, 2016

April 14, 2016

April 14, 2016

April 18, 2016

April 19, 2016

April 21, 2016

April 21, 2016

April 27, 2016
 
 
 
 
 
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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