Series 7: 18.2.2. Financial Industry Regulatory Authority

Taken from our Series 7 Online Guide

18.2.2. Financial Industry Regulatory Authority

The merger of the NASD and NYSE Regulation into FINRA began a movement to create a single regulator for all securities firms that do business with the public. In the succeeding years, 11 U.S. exchanges have turned over their responsibility for insider-trading surveillance of exchange-listed equity securities to FINRA. Today FINRA

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 18.2.2. Financial Industry Regulatory Authority, you might also be interested in:

Series 7 - 3.6.7 Rule G-7—Registered Persons Must File Personal Information History to Qualify

Series 28 - Reporting of Behavior Violations

Series 54 - 2.2.2.7. “Know Your Client” Requirement

SIE - Value at Issuance

Series 3 - 7.3.3. Reporting Requirements

Series 79 - Chapter 2 Practice Questions

Series 50 - Bond Rating Services

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Just passed my Series 7 using Solomon Exam Prep! Have used Solomon for my Series 79 as well. Both study programs are excellent and felt well prepared sitting for my exams. Would recommend to others in the industry.

Natasha Trilli, Ocean Park. Houston, 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 have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

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

Aaron Johnson, Humble, TX

The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
I am so happy with Solomon! So far, I've passed the SIE and Series 7 exam because I used their program to study. I am currently using their program to study for the Series 66 now. The practice exams are invaluable and are the best way to learn! I would give 10/5 stars.

Abbigayle Hanoch, LPL Financial. Ventura, CA

Just passed the series 7 today! Solomon was a huge help, as I used the practice exams exclusively. When preparing for this exam, make sure to allocate ~70% of your time on compliance, opening accounts etc. Looking forward to passing the series 66. I will continue using Solomon!

Blake Rossman, True Wealth Financial Partners. Fircrest, WA