Series 7: 3.3.2.1.2. Continuing Disclosure Agreement

Taken from our Series 7 Online Guide

3.3.2.1.2. Continuing Disclosure Agreement

Underwriters are also obligated by SEC Rule 15c2-12 to receive a continuing disclosure agreement from the issuer prior to making a bid or accepting a sale. This is an agreement to provide continuing disclosure of information relevant to the market value of the bonds throughout their lives. The agreement is signed by the issuer and any other entity that is committed contractually to support payment of the bond obl

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The series 7 quizzes were what made the study material the best. I just passed the series 7, it was my second time with Solomon. I Passed the SIE first attempt with their study material and it took me until the second attempt to pass the series 7 with their study material. The unlimited practice quizzes was what helped me pass. What an exciting day! I will be using them for the next 63 or 66!

Patrick Deal, Cape Securities. Frisco, TX

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Abbigayle Hanoch, LPL Financial. Ventura, CA

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Dave Stakland Cambridge Investment Research Fairfield, IA

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I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

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