SIE: SEC Rule 144A: Private Resales To Qualified Institutional Buyers

Taken from our SIE Online Guide

SEC Rule 144A: Private Resales to Qualified Institutional Buyers

As discussed above, purchasers of restricted securities are subject to holding periods. Rule 144A, however, allows issuers and non-issuers to sell restricted securities to qualified institutional buyers (QIBs) without restrictions. Once a qualified institutional buyer purchases a restricted security, it can sell it to other QIBs without restr

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: SEC Rule 144A: Private Resales To Qualified Institutional Buyers, you might also be interested in:

Series 65 - Income Earned Within an Estate Account

Series 28 - Dealers

Series 51 - Transfer Validation

Series 52 - 4.1.3. The Broker’s Broker

Series 79 - 6.5. The Role of Research Analysts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

The (SIE) exam was tough, but I was well prepared after studying with the Solomon Exam Prep guides. Having a set study schedule made this much easier to follow along. I'll definitely be using Solomon for my Series 6 and 63 exams!

Matthew Bird, Lincoln Investment. Liverpool, NY.

I utilized the Solomon SIE and Series 6 Top-Off study guide package. I passed on the first time by following the exact recommendations. While the test is different than the study exam questions it covers the content in a detailed way preparing you to successfully pass the exam. Great product and customer service!

Michael Gehrich, Allstate Insurance, Ft Myers, FL

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI