Series 7: 18.2.1. Securities And Exchange Commission

Taken from our Series 7 Online Guide

18.2.1. Securities and Exchange Commission

The SEC is the principal federal regulatory agency for the securities industry. Its broad mission is to protect investors and maintain the integrity of the securities markets. It oversees the securities markets to ensure that they are fair and honest, and it enforces the securities laws. The SEC writes the rules and regulations that give teeth to the securities laws, and it enforces compliance with both civil

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 18.2.1. Securities And Exchange Commission, you might also be interested in:

Series 24 - Closing Out a Position: Buy-ins and Sellouts

Series 7 - 15.1 Opening a Margin Account

Series 50 - Municipal Securities Principal (Series 53)

Series 66 - Alpha

Series 53 - Credit Agreement

Series 65 - Brady Bonds

Series 66 - Valuing Securities

Series 52 - 1.1. Unique Features of Municipal Bonds

Series 54 - Customer Complaint Recordkeeping Requirements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

Jeremy, I passed the Series 7 yesterday with an 87% using only your book and online practice tests. Thanks!

Aaron Johnson, Humble, TX

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL