Series 24: Firewall Between A Member Firm And A Subject Company

Taken from our Series 24 Online Guide

Firewall Between a Member Firm and a Subject Company

A member firm may not submit any portion of a research report to the subject company prior to publication, except as necessary to verify the factual accuracy of its information. If sections of a report must be submitted, the firm must comply with these additional demands: (1) the sections in question must not contain the research summary; (2) the complete draft of the report must be reviewed by legal or compliance personnel prior to delivery; (3) if, subsequent to the

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I had tried another learning system before Solomon and walked into the Series 24 unprepared and subsequently failed. After using the Solomon system for three weeks, taking full advantage of the app on my cell phone I walked into my second attempt very prepared for the type of questions I was going to see. Not only did I pass, I did so with confidence. Thanks so much Solomon!

Steven Eisner, Penn Mutual/HTK, Hauppauge, NY

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Karen Lessard, Concorde Investment Service Frisco, TX

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