Series 54: 3.2.5.10. Disclosure Requirements

Taken from our Series 54 Online Guide

3.2.5.10. 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 executive officers. They must also list all the issuer

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 3.2.5.10. Disclosure Requirements, you might also be interested in:

SIE - Hedging with Protective Puts and Calls

Series 7 - Exercise

Series 53 - Supervisory System

Series 65 - 7.1.1.1.1 Consolidated Tape

Series 53 - Recordkeeping Maintenance Responsibilities

Series 65 - 6.3.1 Traditional IRAs

Series 24 - Changes in Registration Status

Series 82 - 3.2.3. Rights and Warrants

Series 28 - Compliance Meeting

Series 65 - Chapter Nine Practice Question Answers

Series 7 - 2.9. Unsecured Bonds

Series 24 - Time in Force (TIF) Designations

Series 82 - 1.2.1.1. Prospectus

Series 28 - Margin Payment

Series 51 - Rule G-32—Disclosures in Connection with New Issues

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

Passed it [Series 6] with an 80%!!!!! Thank you for everything, it was worth every cent.

Craig Tanimine, North Hills, CA

Solomon Exam prep did a great job helping me prepare for the Series 50. The exam simulator was excellent and I felt so prepared during the exam!

Amber Nielsen, Baker Tilly Municipal Advisors. Mishawaka, IN

Used a different exam prep for my first 2 tries and failed miserably. Picked up the Solomon Series 6 full study package and passed my third attempt. The audio book and video lectures really made the difference. Thank you!

Rachel R, Ritter Insurance Agency, Huntington Beach, CA

I passed the Series 82 with the help of Solomon and I am more than happy to put myself in their hands to help me pass 24 and 79 still ahead of me. The materials were excellent and the staff was very responsive and helpful. Highest recommendation!

David Barrosse, Managing Partner, Capstone LLC

Thank you Solomon! You helped me pass the 6 with a 90%. Would recommend this to anyone! Material is fantastic! I'm getting the 63 to help me pass too!

Brad E, Jefferson National, Louisville, KY