Series 3: 7.6.1.4. Settlement

Taken from our Series 3

7.6.1.4. Settlement

Until a chairman of the hearing panel has been appointed, the respondent may submit any proposed settlement to the Business Conduct Committee. After that date, any proposed settlement offer must be submitted to the hearing panel. Settlement offers may also be submitted to the Appeals Committee if the matter is b

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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)

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