Series 79: SEC Requirements

Taken from our Series 79 Top-off Online Guide

SEC Requirements

Two rules promulgated under the Exchange Act govern recordkeeping by exchange members and broker-dealers. (We refer to both categories below as broker-dealers for short, but the rules apply to both groups.) SEC Rule 17a-3 sets forth, in daunting detail, the records that broker-dealers must make; Rule 17a-4 describes how long such records must be kept and in what form. Because Rule 17a-4 repeatedl

+ Read More

More Series 79 Info

What are people saying?

Create an Account

Since you're reading about Series 79: SEC Requirements, you might also be interested in:

Series 79 - Meeting Closing Conditions

Series 66 - 2.4.11.2 Equipment Trust Certificates (ETCs)

Series 7 - 18.4.1.2. Letters of Acceptance, Waiver, and Consent

Series 65 - Exercise

Series 53 - Hedging

Series 7 - 3.5.2. Analyzing Revenue Bonds

Series 66 - 6.7.1. Cash Accounts

Series 82 - Settlement Offers

Series 66 - Diversification of Funds

Series 6 - 5.1.7.2. Capital Gains on the Sale of Mutual Fund Shares

Series 7 - 12.5. IPO Transaction Rules

Series 50 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I used Solomon Exam Prep for both my Series 79 and 63, and was extremely happy with my passing results! Their system is excellent, and the exam simulator is on target. I recommend that once you've taken several full practice exams, you return to the underlying material to read it again - this helps all the details "click." Best of luck, I'd definitely recommend Solomon.

Leah Matsil, JPMorgan Chase, New York, NY

I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

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.

Fantastic prep for my Series 79 -- and I passed again!! Thank you Solomon!

Paul Werp, Connected Vision Advisors. Mountain View, CA

Passed the Series 79, was really difficult but the materials prepared me well. Was passing the practice exams with mid 80's to high 90's the last two days. Highly recommend using Solomon.

Natasha Trilli, Ocean Park. Houston, TX