Series 3: 7.6.1.3. Decision

Taken from our Series 3

7.6.1.3. Decision

After the hearing, the hearing panel must write its decision based upon the weight of the evidence. The decision must contain:

• A summary of the charges, answer, and the evidence produced at the hearing
• A statement of findings and conclusions as to each allegation, including a statement of each act the respondent committed or omitted, each NFA requirement violated, and whether it constitutes conduct

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.1.3. Decision, you might also be interested in:

Series 65 - 2.6.7. Bond Points and Basis Points

Series 27 - Assets Doubtful of Collection

Series 82 - Other Account Documentation

Series 7 - 1.2.4.1. Transfer Agent and Registrar

Series 82 - Opening an Account

Series 27 - SIPC Coverage Limitations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY

I passed the Series 52 with flying colors using the Solomon program! I used the audio, book, and took many exams. I felt very well prepared going to the test and would recommend this program to anyone!

Tanya Farber, Ameriprise Financial, Minneapolis, MN

Solomon Exam prep did a great job helping me prepare for the Series 50. The exam simulator was excellent and I felt so prepared during the exam!

Amber Nielsen, Baker Tilly Municipal Advisors. Mishawaka, IN