Series 82: 2.1.4.7. Internal Inspections

Taken from our Series 82 Online Guide

2.1.4.7. Internal Inspections

Registered principals must conduct annual internal inspections at every OSJ and every branch office that supervises a 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. It must test and verify the member’s policies and procedures with

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 2.1.4.7. Internal Inspections, you might also be interested in:

Series 6 - 4.2.11.2. Treasury Notes and Bonds

Series 52 - 3.6.29 Rule G-29—Ready Availability of MSRB Rules

Series 7 - 10.2.6 Reinvestment Risk

Series 14 - 9.1.3.3. More Filing Requirements and Review Procedures

Series 6 - 1.3.1. Types of Public Communications

Series 6 - 1.2.1.2. Pre-Filing Period

Series 7 - 14.2.1. Individual Accounts

Series 53 - Municipal Securities Representative (Series 52)

Series 65 - Structure of Mutual Funds

Series 79 - Managing and Monitoring Access to the Data Room

Series 65 - Serial Payments

Series 79 - 9.6. Ongoing Reporting and Disclosure Obligations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The online exam simulator was essential to helping me pass the Series 82 on my first attempt!! Have always used Kaplan for previous FINRA exams, so didn't know what to expect at first, but I was definitely prepared for this exam! Great job to everyone at Solomon, especially the exam writers !!

Luke Garcia, Capital Group, West Chester, PA

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

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

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

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 just passed the 82 on my first attempt. The study guide and unlimited practice study exams are priceless. I took full practice exams until I was scoring in the 90's and I'm glad I did. The questions on the actual exam were more difficult than any of my practice exams but I was able to think through them and apparently answer enough questions correctly. I truly wouldn't have passed this exam without all of the practice exams Solomon offered.

Adam Drewry, Parsonex Securities. Denver, CO