SIE: The Syndicate

Taken from our SIE Online Guide

The Syndicate

In most cases, the underwriter selected by the issuer will not want to bear all the financial risk of the offering. For this reason, the underwriter will invite other investment banks to join in the underwriting. This group of underwriters is called the syndicate. Each member of it will be allotted a certain amount of shares that it will be responsible for selling. The underwriter that manages the underwriting has severa

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: The Syndicate, you might also be interested in:

SIE - 8.3.8. Options Accounts

Series 82 - Research Reports by Broker-Dealers Not Participating in an Issuer’s Distribution

Series 66 - Advertising

Series 79 - A1.4.1. Monetary Policy

Series 82 - Chapter 1 Practice Questions

Series 26 - Non-Qualified Retirement Plans

Series 24 - Exemptions for Offshore Transactions: Regulation S

Series 52 - Sharing of Customer Accounts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

When I took my SIE exam, I only spent 30 minutes taking the exam and I passed. It is amazing how Solomon goes into detail regarding information. You guys provide more information than Kaplan's SIE book. Thank you so much for helping me succeed in my endeavors. Onward and upward to the Series 7. I'm choosing Solomon again!

Zach Sloan, Cambridge Investment Research, Fairfield, IA

The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
I am so happy with Solomon! So far, I've passed the SIE and Series 7 exam because I used their program to study. I am currently using their program to study for the Series 66 now. The practice exams are invaluable and are the best way to learn! I would give 10/5 stars.

Abbigayle Hanoch, LPL Financial. Ventura, CA

I passed my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

Solomon Exam Prep is the "go-to" study guide for any busy professional in our industry. Extraordinary customer service and responses to your questions via email. Excellent flow of subjects, quizzes, test and audiobooks for on-demand refresh. Don't settle for any other test platform for our industry. The goal is to pass the test and they have the staff and platform to help you achieve your goal.

Robert Jones, US Capital Global. San Francisco, CA

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL