Series 82: 2.1.4. Member Supervisory Responsibilities And Procedures

Taken from our Series 82 Online Guide

2.1.4. Member Supervisory Responsibilities and Procedures

By Section 15(b)(4) of the Exchange Act, the SEC may take punitive action against any broker-dealer that has willfully violated, enabled a violation of, or failed to supervise a violator of securities law and regulations. The Act goes on to say that no supervisor will have failed in his duties if a supervisory system and procedures have been established and dutifully applied to

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 2.1.4. Member Supervisory Responsibilities And Procedures, you might also be interested in:

SIE - 1.1. Equity Securities

Series 79 - Chapter 14

Series 79 - Functions of Financial Markets

SIE - 8.6.7 Financial Exploitation of Vulnerable Adults

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

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

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

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN

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