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I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent.

William Crull
Metairie, LA

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

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I was struggling with my company's study material for the Series 6 exam. After hearing some positive feedback from fellow colleagues about Solomon Exam Prep's Series 6 iPhone app, I decided to purchase Solomon Exam Prep's Series 6 Online Exam Simulator. I am very happy with the results!! The online exam practice questions were structured very similar to the actual exam. After passing the Series 6 exam I decided to buy the same program from Solomon Exam Prep for the Series 63 exam. And the results were the same!
Paul Takhar, JP Morgan Chase, Kingsburg, California

I sat through a class at a local business college and read their text book. Then I bought the Solomon Exam Prep Series 7 audio download a couple of weeks before my exam and listened to all of it twice. I made a final push at the end and used your product to do that. I have 3 kids so it was great wearing my mp3 and still participate in life while studying! Your Series 7 audio wrapped things up nicely, and I passed with a 79 on the first try.
Holly Curtis, LPL Liverpool, NY

Exam Alert: FINRA recommends heightened supervision for complex products

On January 17, 2012, FINRA highlighted the need for firms to have adequate supervisory and compliance programs in place in order for registered representatives to recommend complex products. FINRA identified several characteristics that may cause a product to be considered "complex," such as embedded derivatives or contingencies. The notice states that agents should determine suitability, consider the customer's financial sophistication, discuss the products with the customer, and consider alternative investments that could meet the customer's goals. The firm should also review the performance of the products and train the agents about the products.

On October 20, 2010, the U.S. Department of Labor (DOL) adopted a rule that requires retirement plan administrators to show participants in participant-directed individual account plans (e.g., 401(k) plans) information on alternative investment options. On January 13, 2012, FINRA stated that communications that contain only the information required by the DOL rule do not need to be filed with FINRA. Note that communications that have additional information not required by the DOL rule must be filed with FINRA.

On January 4, 2012, the SEC staff provided suggestions for investment advisers using social media to help them comply with communication and recordkeeping rules. Of particular note, the SEC staff stated that the client use of the "like" button could count as a testimonial under the Investment Advisers Act.

Effective December 15, 2011, FINRA has modified the rules for submitting short interest data. Specifically, when reporting such data for a security that is primarily listed on the BATS Exchange, the new exchange/market code "H" is used.

The SEC has approved a change to FINRA Rule 9251, effective December 2, 2011. This change to the rule explicitly protects from discovery documents that federal law prohibits FINRA from disclosing.