SIE: 8.4.8. Time Of Trade Disclosure

Taken from our SIE Online Guide

8.4.8. Time of Trade Disclosure

For municipal securities, the MSRB requires brokers-dealers to disclose all material information about the security known by the firm prior to or at the time of the trade. The firm must also disclose any material information about the security that is reasonably accessible to the market from established industry sources.

MSRB G-47

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 8.4.8. Time Of Trade Disclosure, you might also be interested in:

Series 3 - Exercise

Series 79 - 14.2.2. Unsecured Claims

Series 3 - 5.1.2. Synthetic Short Calls and Synthetic Short Puts

Series 50 - Reimbursement Resolution

Series 63 - Chapter 3 Practice Question Answers

Series 24 - Qualified Plans for Small Businesses

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH

This program and study prep is amazing. I took and passed my SIE on the first attempt. If you follow the study guide you should be fine. I got to tell you I have never passed a test on the first go. Thanks, Jeremy! I appreciate all your tips and help you posted on the feed. It was all very beneficial to my success.

Tyrone Foster, Hall Labs. Provo, UT

Completing the SIE was a requirement for my current position. I looked around at different materials and started with Kaplan. The material was dry and seemed to have many errors in it. I decided to scrap that and move on to Solomon Exam Prep which I learned about from Reddit. The reviews were outstanding so I decided to give it a try. After going through the material once I felt beyond confident to take the exam. The study guide, audio book, exam simulator, and videos were extremely well done. After two weeks of reviewing and acing practice tests, I took my actual SIE exams and flew through it with about 1/3 of the time remaining when I finished. The preparation from Solomon Exam Prep helped me gain the confidence and understanding I needed to pass the exam on the first try!

Jared M. Albany, New York

I got my undergrad degree in musical theater, never having studied or practiced anything regarding securities. I've been working as an actor over the last 10 years, and figured the Covid-19 quarantine presented an opportunity to learn something new. Solomon took me from knowing NOTHING about securities to passing the SIE on the FIRST TRY! I finished in under an hour and felt extremely confident about the entire test. I read every chapter twice, watched all the video tutorials, listened to the audiobook while driving, and took a large amount of practice exams. Do this - and you will be over prepared - I promise. I will absolutely be using Solomon again for any top-off exams!

Corey Cott, Philadelphia, PA

I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX