Solomon Exam Prep

What a relief. I didn’t get a chance to study that much, but your online sample questions were spot on and the reason why I passed [the Series 79].

Andrew Y.,
Pacific Palisades, CA

Series 6

Web-based program featuring interactive practice exams that closely resemble the actual exam.

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I found your combination of materials (the book and the exam simulator) to be an excellent study mix, and obviously they were effective: I passed the Series 63 and the Series 79 exams.
Bob Newkirk, Moesman Advisors LLC, Denver, CO

Your Pass the 7 book as well as the practice tests were both incredible ways to prepare for the Series 7. I read the book three times and took 80 hours worth of practice tests. It worked; I passed the Series 7 the first time!
Joel Lee

Exam Alert: SEC identifies good due diligence practices for municipal securities underwriters

On March 19, 2012, the SEC staff released a risk alert that reminds firms acting as underwriters for municipal securities of their due diligence and supervisory obligations under current rules. The alert then identifies specific examples of effective due diligence practices.

Effective August 2, 2012, the Municipal Securities Rulemaking Board (MSRB) will require underwriters of municipal securities to provide additional disclosures to issuers (state and local governments) and abide by other requirements. The changes apply to negotiated underwritings, but not to competitive underwritings.

FINRA is implementing an electronic filing system for the submission of notice and other information required by FINRA rules for distributions subject to Regulation M. Effective June 4, 2012, firms will be required to use the new system, and the current forms for filing notice and other information on Regulation M distributions will no longer be used.

Firms that participate in initial public offerings must submit certain information about the offered security to FINRA, including the registration statement/offering circular and the underwriting agreement. FINRA will be shifting from the current system for filing this information to a new system in the near future: -The last day firms may file using the old system (COBRADesk) is May 31, 2012. -The firms may first file under the new system (Public Offering System) on June 4, 2012. -Firms will no longer have access to the old system for data retrieval after June 20, 2012.

Under the Dodd-Frank Act, the SEC and CFTC (Commodity Futures Trading Commission) regulate the OTC swaps market. On April 18, 2012, the SEC adopted rules that provide definitions for terms used in the law, specifying who will be subject to regulation.