SIE: 1.3.4.1. Transfer Agent And Registrar

Taken from our SIE Online Guide

1.3.4.1. Transfer Agent and Registrar

Companies typically keep track of their securities issues by hiring a transfer agent, usually a bank or trust company. The transfer agent records who owns shares and in what form, recording changes of ownership as they occur. If stock certificates are involved, the transfer agent cancels the certificates s

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 1.3.4.1. Transfer Agent And Registrar, you might also be interested in:

Series 24 - 4.6.3. Restrictions on Research Analysts

Series 7 - Chapter 12 Practice Question Answers

Series 7 - 3.3.2.2.1 Soliciting the Bid: Notice of Sale

Series 24 - 1.2.3.4. State Registration

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

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

The materials for the SIE were very well organized and presented. The study guide is comprehensive and easy to understand. Beyond that what I found the most valuable were the practice exams particularly the detailed explanations after each set of answers. There are so many hidden gems in there be sure to scroll down so as not to miss that information. We done Solomon Prep!

Matthew Gould, GreyMan Management . Scottsdale, AZ.

I took the SIE with Solomon Exam Prep and I have to say; the layout of the topics, the practice questions and the explanations of each subject matter is wonderful. They make it clear to follow and understand what the concepts are. Going back to re-try my Series 7 with them instead of my other book.

Ufy Sada, Morgan Stanley, Columbus, OH

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

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