Series 22: Internal Inspections

Taken from our Series 22 Top-off Online Guide

Internal Inspections

An associated person must conduct an annual internal inspection at every office that supervises a branch or non-branch office to ensure compliance with securities laws. Other branch offices must be inspected every three years. Inspections must include a review of customer account records to detect irregularities or abuses. The associated person must also test and verify the member’s policies and procedures with regard to:

• safeguarding customer

+ Read More

More Series 22 Info

What are people saying?

Create an Account

Since you're reading about Series 22: Internal Inspections, you might also be interested in:

Series 79 - 2.3.2. Types of Nonsystematic Risk

Series 79 - Secured Claims

Series 63 - 5.2. Practical Application

Series 52 - 3.4.2. Final Official Statement

Series 3 - 2.2.4.1.2. Accrued Interest and Total Invoice Price

Series 3 - 7.3.2.3. Restricted Use of Customer Funds

Series 27 - The Taping Rule

Series 24 - Managing Compensation Practices

Series 27 - Fixed Assets and Prepaid Items

Series 65 - Taking Advantage of Leverage

Series 53 - Put Options and Repurchase Agreements

Series 7 - 17.3. Third and Fourth Markets

Series 53 - 3.1.1.3.3. Loan Consent Agreement

Series 51 - Exercise

Series 53 - 1.1.7.2. Statutory Disqualification

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

Recently passed my Series 22 using the Solomon material. Failed the exam once previously using The Securities Institute of America material. Solomon gave me the tools in order to succeed and pass my exam. I highly recommend this material!

Cole Seelhammer. New Braunfels, TX

I passed the series 22! Solomon's study materials and exams were the key to my preparation. I tried other companies first, and I knew something was off. After taking the FINRA exam, I know I would have failed if not for Solomon. I cannot overstate this. This test was difficult and foreign. Solomon helped me learn everything I needed to pass the series 22. Many thanks!

Jim Scott, AGES . Ocala, FL

Recently passed the FINRA Series 22 Exam. Though the exam is short, the material is obscure and not what you deal with every day in the industry. Solomon did a great job of putting together material and providing a deep understanding. After about 6 weeks of studying and taking 2 practice exams a day, I passed the exam on the first try! Thanks for putting together a robust training product.

Eric Stroehle, Steelwater Wealth Management. Oakville, CT

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL

I passed the 79 and 63 - both on the first attempt - thanks to Solomon Exam Prep. The quiz/simulator questions were very similar to the actual exam. Additionally, I was impressed by how quickly I received responses when I used the "Ask the Professor" feature.

Alexander W, IL