Series 66: Form 144

Taken from our Series 66 Online Guide

Form 144

Form 144 must be filed in most instances when an insider sells more than 5,000 shares (or $50,000 worth of stock). An insider is someone who is an officer, director, or someone who owns more than 10% of the company. Naturally, when an insider is selling his shares, other investors might want to pay closer attention and may want to follow suit.

+ Read More

More Series 66 Info

What are people saying?

Create an Account

Since you're reading about Series 66: Form 144, you might also be interested in:

Series 65 - Exercise

Series 50 - Rebate Payments

Series 51 - Exercise

SIE - 4.1.1.6.2. Opening and Closing Positions

Series 79 - Managing the Bidding Process

Series 24 - 5.6.3. Compliance with Nasdaq Rules

Series 82 - Introduction

Series 82 - 4.7. FINRA Adjudicatory and Dispute Resolution Rules

Series 66 - 4.5.1 Diversification

Series 63 - Practice Exam #1

Series 53 - Form G-37 Quarterly Reports

Series 66 - Theories of Portfolio Management

Please Enable Javascript
to view this content!

Site Login

Forgot Password?

Create an Account

TESTIMONIALS

What are people saying?

Thanks to you guys, I passed my Series 7 the first time around on Tuesday the 21st. The information given was not only accurate but easy to absorb due to the way the material was set up in your course. I will back to study the Series 66 with you.

Albert Jose, AXA Advisors, Menifee, CA

I passed my 66 with an 83%. The main method of studying was the mp3 that I downloaded and listened to on my commute to and from work. The audio book was the reason I did well. Thanks!

Eric Dicken, BB&T Investments, Winterville, NC

I have been extremely happy with your book series. I was able to pass the Series 66 and Series 65 with flying colors on the first try! Thanks again.

Christian Brown, Financial Decisions Group

I passed the Series 66 exam with an 83 this morning! I wanted to personally thank you for all the help you have given me. Your method of presenting the information needed to pass these exams is outstanding (I only had two weeks to study). In the future I wouldn't even consider using another resource to tackle the preparation for a Series exam. Moving forward in my career I will be sure to pass this information on to friends and colleagues without hesitation.

Michael F. Lee, Jr. Hatteras Funds, Raleigh, NC

I successfully passed the series 66 test yesterday! I could honestly say it was one of the happiest days of my life! I want to personally thank the excellent staff at Solomon exam prep! They are so knowledgeable and when I asked questions, they always went over the top with explanations and even sometimes creating charts for me to break down the concept. I felt really well served by this group. If you are looking for a company to help you succeed, you have found it Within Solomon exam prep team!

Shirley Antonini. Schuylkill Haven, PA

I passed the Series 79, 7, and 66 thanks to your study guides. I scored an 85, 81 and 82, respectively. The exam simulator was highly useful and great preparation. I glossed over material I knew and really prepped topics related to laws and ethics, which these study guides effectively described and tested. I highly recommend Solomon!

Sean M, New York, NY

Summary: Corporate SEC Filings
Filing	Purpose
Prospectus	Filed prior to new security being issued; contains all info about the issuer potential investors need to evaluate, and potential risks and rewards before investing
Annual Report	Provided to shareholders annually to summarize the issuer’s financial operations
Form 10-K	More detailed than annual report; financial reports audited by independent firm; filed with the SEC
Form 10-Q	Quarterly version of 10-K; does not need