Series 54: 1.1.1. Indirect Enforcement Through Underwriters

Taken from our Series 54 Online Guide

1.1.1. Indirect Enforcement Through Underwriters

Because of concern that the above would infringe on states’ rights, the Tower Amendment was included in the Securities Acts Amendments to ensure that the MSRB and the SEC would not have the authority to require municipal issuers to file their securities with federal regulators.

In order to get around this rule and impose some indirect regulation on issuers, Rule 15c2-12 was adopted by the SEC in 1989. This rule prevents municipal securities dealers from selling municip

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 1.1.1. Indirect Enforcement Through Underwriters, you might also be interested in:

Series 65 - 7.1.5.1.2. Limit Orders

Series 26 - Units and Assumed Interest Rate (AIR)

Series 52 - 9.2.2.2. Issue Information

Series 7 - 9.2.1.2.4 Margin Requirements

Series 63 - Net Capital Requirements

Series 26 - FINRA Membership

Series 7 - 1.3.1 Preferred Dividends

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

Mark Melio, Melio & Company, LLC. Northfield, IL

After multiple failed attempts at the Series 6, I felt somewhat defeated. I reached out to Solomon for guidance and I was more than impressed with the response I received. The study material was outstanding and the program structure is truly designed to help you pass! Jeremy Solomon was truly my biggest fan and I can't thank him enough for his help! Solomon is by far the best company out there for test preparation; don't waste any more money on the others this is all you will need to pass!

Tory Hamlin, Agency Owner, Jacksonville, FL

Special thanks to Solomon for ensuring I pass the 65! Trust in the material and you will pass. I bought multiple resources and by far, Solomon was the best. Thanks again.

Paige Robino, Fisher Investments, Plano, TX

Passed Series 65 (80%) on first attempt. THANK YOU, Solomon Exam Prep and all of your VERY helpful and courteous staff! Will be back for next two exams.

James M., Fort Lauderdale, FL

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA

I really would like to thank Solomon Exam Prep for helping me pass my Series 63 exam this past Friday! The website is easy to understand and I passed on the first time using their study guide!

Stephanie Oliver, MSRS, Minneapolis, MN