Series 22: 6.3.4. Trade Confirmations

Taken from our Series 22 Top-off Online Guide

6.3.4. Trade Confirmations

Once the subscription agreement is signed and processed, the offering has met its minimum threshold to avoid cancellation, and the purchaser’s funds are received by the DPP, the purchaser receives the DPP interests. When or before this occurs, the dealer must send the purchaser a trade confirmation. Information required in a trade confirmation includes:

• the name of the securities

• the fact that the investor i

+ Read More

More Series 22 Info

What are people saying?

Create an Account

Since you're reading about Series 22: 6.3.4. Trade Confirmations, you might also be interested in:

Series 50 - Short- and Long-Term Capital Gains

Series 50 - General Obligation Bonds

Series 79 - Merger

Series 7 - 15.2.1 Price Declines and Restricted Margin Accounts

Series 65 - 3.5 Exchange-Traded Notes (ETNs)

Series 54 - 1.5.4. Request for Proposal (RFP) / Request for Qualifications (RFQ) Exemption

Series 27 - SEC Records Maintenance Requirements

Series 99 - 2.2.6.2 OTC Equity Securities

Series 24 - Dividends and Capital Gains

Series 65 - 2.8.1. Debentures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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

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

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

Stick to the plan and pass! 4 times in a row, 7, 63, 24 and now 79. You can't beat the Solomon materials.

Eric Altmann

I passed the Series 26 exam last Thursday. As a Physician with very limited time to sit and study, I listened to the CDs over and over again as I drove to and from work, and that really helped me. I will be ordering the Series 65 materials soon.

Daniel Asiedu, PFS Investments, Lincoln, RI