Series 24: Gun-jumping

Taken from our Series 24 - FINRA General Principal Qualification Examination

Definition of the term Gun-jumping...

making offers of a security before the registration statement has become effective, except through the preliminary prospectus (or under several exemptions provided by the Securities Act and various SEC rules). These provisions were put in place to protect the retail investor by making sure that each investor could make an informed decision through reading the preliminary prospectus. In 2005, the restrictions were relaxed to allow additional kinds of offers.

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I would just like to say that Solomon’s customer service was excellent. The material was clear and easy to understand and I feel that it prepared me extremely well for my exam. I found the study outline to be the most helpful in keeping me on track. I would definitely refer the material to anyone taking the Series 24. Thank you to the Solomon team for helping me pass my 24!

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Steven Eisner, Penn Mutual/HTK, Hauppauge, NY