Series 54: Disclosure Requirements

Taken from our Series 54 Online Guide

Disclosure Requirements

To monitor compliance with the rule, the MSRB requires dealers and advisors to submit quarterly statements reporting all of their political contributions for the previous quarter, whether made by MFPs, MAPs, or non-MFP executives or non-MAP executives. They must also list all the issuers with

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: Disclosure Requirements, you might also be interested in:

Series 24 - Rule 175: Safe Harbor for Statements by Issuers

Series 65 - Common Stock Shareholder Rights

Series 26 - Additional Fees

Series 53 - Exercise

Series 99 - 2.1.1.1.1 Buy and Sell Orders

Series 50 - Unfair Practice in Municipal Securities

Series 51 - Securities Records

Series 54 - 3.1.3. Municipal Advisors Must be Qualified

Series 24 - Anti–Money Laundering Compliance Program

Series 65 - Capital Structure and Liquidation Priority

Series 7 - 1.3.4. Transfer of Preferred Stock

Series 52 - Chapter 3 Practice Questions

Series 82 - 3.2.4. American Depository Receipts and International Securities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

Mark Melio, Melio & Company, LLC. Northfield, IL

I would recommend this program to anyone that has to take the Series 6 or any test offered by this company. Taking the practice exams and quizzes for each function over and over was key for me. Great program!!!

Alcide Wiltz IV, Allstate Insurance Company, Pensacola, FL

I just passed the Series 50 exam! Yay! The Solomon Exam Prep materials are excellent. I utilized the guide book, on-line lecture, on-line course, on-line study guide and quizzes. The "Ask the Professor" feature was very helpful as well. I highly recommend their resources.

Lori Volz, Baker Tilly, Minneapolis, MN

Just passed the Series 24 on my first attempt. Not an easy exam so put the time in. I used the Video Lectures and the Exam Simulator from Solomon. Great resources of information!

Shawn McClain, Natixis, Charlotte NC

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

This program and study prep is amazing. I took and passed my SIE on the first attempt. If you follow the study guide you should be fine. I got to tell you I have never passed a test on the first go. Thanks, Jeremy! I appreciate all your tips and help you posted on the feed. It was all very beneficial to my success.

Tyrone Foster, Hall Labs. Provo, UT