Series 3: 7.6.1.3. Decision

Taken from our Series 3 Online Guide

7.6.1.3. Decision

After the hearing, the hearing panel must write its decision based upon the weight of the evidence. The decision must contain:

• A summary of the charges, answer, and the evidence produced at the hearing

• A statement of findings and conclusions as to each allegation, including a statement of each act the respondent committed or omitted, each NFA requirement violated, and whether it constitutes con

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.1.3. Decision, you might also be interested in:

Series 50 - Market Consultant

Series 66 - 3.1.6.1. Mutual Fund Manager Tenure

Series 53 - Preliminary Official Statement

Series 6 - 3.3.1.1. Contributing to an IRA

Series 24 - 2.8.1. Net Capital

Series 26 - Correspondence and Internal Communications

Series 79 - Shelf Registration

Series 82 - Tax Considerations

Series 53 - ARS Reporting Requirements

Series 26 - Customer Identification Program

Series 53 - 4.2.2.2.3. NIC and TIC

Series 51 - Customer Requests for Information

Series 66 - Earnings Before Taxes

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

After multiple failed attempts at the Series 6, I felt somewhat defeated. I reached out to Solomon for guidance and I was more than impressed with the response I received. The study material was outstanding and the program structure is truly designed to help you pass! Jeremy Solomon was truly my biggest fan and I can't thank him enough for his help! Solomon is by far the best company out there for test preparation; don't waste any more money on the others this is all you will need to pass!

Tory Hamlin, Agency Owner, Jacksonville, FL

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

I passed the Series 50 on the first attempt thanks to Solomon's materials. Although the questions on the exam were much more difficult and complex in structure and format than the Solomon practice exams, the study materials & practice exams did enforce the concepts that the actual exam was testing. Thank you Solomon!!!

Lisa Gesin, Gesin Consulting, Dallas, TX