SIE: 9.2.16.4. Sale Of Securities In A Fixed-Price Offering

Taken from our SIE Online Guide

9.2.16.4. Sale of Securities in a Fixed-Price Offering

No member that participates in a selling syndicate or selling group in connection with a fixed-price offering may offer any securities in the offering at a price below the stated public offering price. This restriction applies until the offering terminates or until the issuer or underwriter is unable to continue selling the securities at the public offering price.

This restriction includes both institutional and retail customers. Selling

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 9.2.16.4. Sale Of Securities In A Fixed-Price Offering, you might also be interested in:

Series 26 - Taxation During Accumulation Phase for a Non-qualified Annuity

Series 63 - Termination of an IAR

Series 52 - 5.3.1.5. Bond Points and Basis Points

Series 53 - Form G-32 Information

Series 53 - Tender Option Bonds

Series 66 - Exercise

Series 22 - 6.6. FINRA Adjudicatory and Dispute Resolution Rules

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have now used Solomon for the SIE, series 6, and 63. I am ordering my 7 materials now. The structure and resources are right on target. The practice exams are more difficult than the exam which makes taking the exam much easier. I give all of the credit to Solomon for my 100% pass rate so far. I recommend Solomon to all of my coworkers.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Super fast response time to emailed questions, clear explanations in the textbook and in the ungraded practice exams, and unlimited practice tests made Solomon a great resource for preparing for my SIE. Passed on first try!

Claire Pywell, R+R Financial Partners. Anchorage, AK

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 was able to learn, practice, and pass both my SIE and Series 6 Exams ahead of schedule, while running my agency. The information was complete and the practice questions were plentiful! I highly recommend Solomon and will continue to use them in the future!

Shawn Swank, Swank Agency Allstate Insurance, Trinity, FL

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

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