Series 7: 12.1.5 The Syndicate

Taken from our Series 7 Top-off Online Guide

12.1.5 The Syndicate

In most cases, the underwriter that is selected by the issuer will not want to bear all the financial risk of the offering. For this reason, the underwriter will invite other investment banks to join in the underwriting. This group of underwriters is called the syndicate. Syndicates are ty

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 12.1.5 The Syndicate, you might also be interested in:

Series 65 - Important Leading Indicators

Series 65 - Participating Preferred Stock

Series 65 - 3.1.2.3. Bond Funds

Series 52 - 2.7. Retirement

Series 65 - 8.9. Regulation of Broker-Dealers

Series 22 - 3.8. Business Development Companies

Series 54 - 1.5.6. Registered Swap Dealer Exemption

Series 53 - 4.1.5.1. Historical Background

Series 65 - 1.4.3.2. Annual Reports: Form 10-K

Series 7 - 13.1.2 Restrictions on Borrowing from and Lending to Customers

Series 24 - Restrictions on the Purchase and Sale of an IPO—New Issue Rule

Series 6 - 7.2. Portfolio Management

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
I am so happy with Solomon! So far, I've passed the SIE and Series 7 exam because I used their program to study. I am currently using their program to study for the Series 66 now. The practice exams are invaluable and are the best way to learn! I would give 10/5 stars.

Abbigayle Hanoch, LPL Financial. Ventura, CA

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

The series 7 quizzes were what made the study material the best. I just passed the series 7, it was my second time with Solomon. I Passed the SIE first attempt with their study material and it took me until the second attempt to pass the series 7 with their study material. The unlimited practice quizzes was what helped me pass. What an exciting day! I will be using them for the next 63 or 66!

Patrick Deal, Cape Securities. Frisco, TX