Our newsletter is published at the beginning of the month. Here are your headlines from the month of February.
 
 
 
 
 
Solomon Exam Prep Updates
 
 
 
 
 
Study Question of the Month - February

Question: When a transaction is executed at 3:00 pm Eastern Time, what are the TRACE reporting requirements (assuming the transaction is not a list or fixed offering price transaction, a takedown transaction, or an asset-backed securities transaction)?

Answers:
A. It must be reported within 10 seconds of execution
B. It must be reported within 15 minutes of execution
C. It must be reported within 30 seconds of execution
D. It must be reported by 8:15 on the next business day

Correct Answer: B. It must be reported within 15 minutes of execution

Rationale: Transactions executed between 8:00 am and 6:15 pm must be reported to TRACE within 15 minutes of execution, and do not receive a designation.

Congratulations to Jessi B., this month's Study Question of the Month winner!

The March Study Question of the Month has been posted. See our blog and submit your answer to info@solomonexamprep.com to be entered to win a $10 Starbucks gift card.
 
 
 
 
 

The North American Securities Administrators Association (NASAA) has announced that it will implement updates to the Series 63, 65 and 66 examinations on July 1, 2016.

Solomon Exam Prep will be making updates and changes to its industry-leading Series 63, Series 65 and Series 66 exam study program to prepare students for the revised exams. Students will receive additional resources with updates as they are made available. 
 
 
 
 
 

Solomon Exam Prep is pleased to announce the publication of our Exam Study Guides for the FINRA Series 27 Financial and Operations Principal Qualification Examination and FINRA Series 28 Introducing Broker-Dealer Financial and Operations Principal Qualification Examination. An Online Exam Simulator for both exams has been available for the past year, but we are excited to expand our product offerings to better assist our customers in passing these exams.
 
 
 
Both Exam Study Guides are available as an online digital guide and hard copy book and can be purchased on the Solomon Exam Prep website. 

Solomon Exam Prep Exam guides focus on the most important aspects of the exam and are peppered with frequent examples, exercises and practice questions. These succinct Exam Study Guides will get you on track to passing your exam in no time.
 
 
 
 
 
FINRA Updates
 
 
 
 
February 2, 2016

February 9, 2016

February 11, 2016

February 17, 2016

February 19, 2016

February 26, 2016

March 1, 2016

March 3, 2016
 
 
 
 
 
MSRB Updates
 
 
 
 
February 17, 2016

February 18, 2016

February 19, 2016

February 23, 2016

February 24, 2016
 
 
 
 
 
Other News
 
 
 
 
 
 
 
 
 
SEC Updates
 
 
 
 
February 1, 2016

February 2, 2016

February 2, 2016

February 3, 2016

February 3, 2016

February 4, 2016

February 4, 2016

February 5, 2016

February 9, 2016

February 9, 2016

February 10, 2016

February 12, 2016

February 16, 2016

March 1, 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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