Series 22: Disclosure Of Participation Or Interest In Distribution

Taken from our Series 22 Top-off Online Guide

Disclosure of Participation or Interest in Distribution

A member who is acting as a broker for a customer or acting as a dealer and who receives a fee or expects to receive a fee for advising customers with respect to buying or selling the securities must notify the customer of its financial interest at or before completing any transaction with the customer, whether in the primary or secondary market.

FINRA Rule 2269

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Recently passed my Series 22 using the Solomon material. Failed the exam once previously using The Securities Institute of America material. Solomon gave me the tools in order to succeed and pass my exam. I highly recommend this material!

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