Series 82: 4.7.1. Investigations

Taken from our Series 82 Top-off Online Guide

4.7.1. Investigations

FINRA staff has the right to require a member firm or associated person to provide information and testify under oath on any matter involving an investigation, complaint, examination, or proceeding. FINRA staff also has the right to inspect and copy on demand the firm’s or person’s books, records, and accounts. No member firm or person shall fail to provide such information or testimony or to open up its books and records

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 4.7.1. Investigations, you might also be interested in:

SIE - Types of Underwriting Commitments

Series 79 - Exemption for Free Writing Prospectuses of Well-Known Seasoned Issuers (Rule 163)

Series 65 - 7.3.4 Inflation-Adjusted Rate of Return

Series 63 - Client Contracts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT

Dear Solomon Exam Prep, Thank you for your great exam prep materials for the Series 82 Top-Off Exam...I recently took it and passed.

Mordechai Slovin, Palladium Capital Advisors, Israel

I found the (Series 82) material from Solomon superior to the other major providers of these types of study guides. The online testing was also quite good and I loved the range of options (half tests, half tests with answers, full tests, etc.). Starting with half test with answers and working my way to full tests without answers built my confidence. Also, their customer service is second to none. If I had a question about the test, my email was answered within the day, as opposed to most companies, which is never. Thanks so much!

Jackson Stith, SyndiGate Capital. Miami, FL

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT