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Author: Securities Institute Staff

Page 11

Series 10 exam tips

By Securities Institute Staff
In this article we are going to detail a number of the best practices students should employ when preparing to take the series 10 exam. We will include the answers to many questions students ask when preparing to take the General Securities Sales Supervisor Examination and we will show you some examples of student feedback... "Series 10 exam tips"

Private Placements and Bad Actors

By Securities Institute Staff
More and more questions are popping up on FINRA Exams concerning disqualifying events which prohibit certain bad actors from participating in private placement offerings. With the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act,  certain “bad actors” are precluded from participating in offerings under Regulation 506. If any covered person has been... "Private Placements and Bad Actors"
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