Series 54: 1.1.5.1. Amendments To Exchange Act Section 15B

Taken from our Series 54 Online Guide

1.1.5.1. Amendments to Exchange Act Section 15B

Following the 2008 economic crisis, the Senate released a report focusing on fraud in the municipal market and the role it played in the collapse. The report determined that many municipalities had been taken advantage of by unregulated advisors who marketed swaps and other derivatives products to them.

In response, Dodd-Frank amended Exchange Act Section 15B, creating the new title of municipal advisor

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: 1.1.5.1. Amendments To Exchange Act Section 15B, you might also be interested in:

Series 65 - Time-Weighted Returns

Series 63 - Chapter 4

Series 65 - Subscription Rights

Series 63 - 3.1.4.2 Section 402(b) Exemptions

Series 54 - 3.1.1.1. Updating Form MA

Series 63 - Special Subscription Form

Series 65 - 10.11.7.3. Common Types of Social Media Fraud

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

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY

The virtual class and the test questions really helped me pass the Series 26. Thank you.

Todd Brubaker, Western & Southern Life, Akron, OH

Taking the Series 24 class with Karen Solomon this week helped reinforce the data that I learned, and I passed my exam! The material was thorough and the exam simulator was an excellent tool to test your knowledge. Thank you Karen!

Karen Lessard, Concorde Investment Service Frisco, TX

Completing the Series 7 was a requirement for my current position. After seeing the material and dedication Solomon Exam Prep put into the SIE material, I knew Solomon’s material would be perfect for me again. I had access to STC material and tried to go through it first but it was too content heavy and at certain points, very confusing. I decided to move back over to Solomon for the 7 and was blown away yet again by how great the material is. Solomon has figured out how to properly prepare people for this exam in my opinion. Solomon Exam Prep focuses on teaching the concept rather than bogging you down with so much material. THAT IS SO HELPFUL! Of course the material is important but it’s extensive. After using Solomon Exam Prep for the Series 7, I was able to fully understand the concepts which made it so much easier to select the best questions on the exams. All the other training programs bury you deep with content, which makes it almost impossible to understand the concepts. If you get questions on the exam that you have not seen before, only knowing specific material will not help you. But if you understand the concepts (like Solomon Exam Prep helped me do) you can break down the question and find the best answer based on your understanding of the concept as a whole. That’s a much better method and Solomon Exam Prep has figured this out! I strongly suggest buying the study guide. You won’t regret it!

Jared M. Albany, New York

I was using a different study program and failed my exam. Once I enrolled in Solomon’s program I not only passed, but improved by over 20%. The practice exams were very close to the language on the FINRA exams.

Ryan P., Frederick, MD