
	Dear --FNAME--, Our newsletter is published the first Monday of the month. Here are your headlines for the month of October.


	Solomon Exam Prep Updates


	Exam Alert: FINRA Adds Additional FOCUS Report Supplement Effective December 31, 2014, certain firms that are required to file FOCUS reports will be required to file an additional form called the Supplemental Inventory Schedule.


	Testimonial Tuesday: October 21, 2014 Edition "I've been using Solomon Exam Preparation materials for my last four Series tests: the Series 82, Series 63, Series 79 and just recently the Series 7. My scores on these tests were 88, 90, 88 and 90. The Solomon texts were comprehensive and easy to read; everything you need to know is in there. But there is so much material that these exams cover that you have to read the texts several times over and take as many practice quizzes and tests as you can until you score in the mid 80's. Then go in for the test. That's what I did. I went in scoring in the mid 80's on practice exams and "peaked" at higher scores while taking the actual tests. You can't do any better than Solomon. I highly recommend them." -Michael McGregor, FOCUS Investment Banking, Charlotte, NC


	Study Question of the Month – October The decimal equivalent of a basis point is: Answers: A. 0.01 B. 0.001 C. 0.0001 D. 0.00125


	"The Solomon Exam Prep Guide: Series 24 General Securities Principal Qualification Examination, 2nd Edition" Exam Study Guide Now Available In response to the new FINRA Series 24 outline, Solomon Exam Prep restructures its Series 24 Exam Study Guide giving Solomon students the most up-to-date Series 24 study materials available.


	For the SILA 2014 Conference this year, Solomon Exam Prep put together a funny video/commercial for everyone to enjoy. Take a look at Solomon Exam Prep's Study Tips 101.


	SEC Updates


	SEC Announces Enforcement Action Against Former Wells Fargo Advisors Compliance Officer for Altering Document October 15, 2014 SEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading to Manipulate Closing Prices October 16, 2014 SEC’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases October 16, 2014 SEC Announces Date for Annual Government-Business Forum on Small Business Capital Formation October 16, 2014 SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds October 17, 2014 Availability of Staff Analysis on Reporting and Dissemination of Security-Based Swap Information October 17, 2014 SEC Names Marc Wyatt as Deputy Director of National Exam Program October 20, 2014 Office of Municipal Securities Director John Cross to Leave SEC October 21, 2014 Rengan Rajaratnam Agrees to Settle Insider Trading Charges October 23, 2014 SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies October 24, 2014 SEC Sanctions Florida-Based Auditor for Circumventing Rules October 24, 2014 SEC Charges Texas-Based Layne Christensen Company With FCPA Violations October 27, 2014 Steven Levine Named Associate Director for Investment Adviser/Investment Company Exam Program in Chicago October 28, 2014 SEC Announces Charges Against Investment Advisory Firm and Top Officials for Custody Rule Violations October 29, 2014 SEC and FINRA Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies October 30, 2014 SEC Announces Fraud Charges Against New York Businessman October 31, 2014


	FINRA Updates


	FINRA Foundation Study Reveals Financial Vulnerability of American Renters October 9, 2014 Remarks by Carlo di Florio at NSCP 2014 National Conference October 20, 2014 FINRA Fines Merrill Lynch a Total of $6 Million for Reg SHO Violations and Supervisory Failures October 27, 2014


	Other News


	Successful Social Media Integration for the Wealth Management Industry: How to Stay Compliant October, 2014 FlashFunders Co-Founder Vincent Bradley Discusses His Newly Launched, No-Fee Equity Funding Platform October 16, 2014 First Look at Securities and Exchange Commission 2014 Enforcement Statistics October 23, 2014 SIFMA Submits Comments in Response to MSRB Request for Input on Strategic Priorities October 23, 2014 NASAA Cautions Investors to Guard Against Ebola-Related Scams October 29, 2014 Brokers warned to beef up training on complex products October 30, 2014


	Solomon Exam Prep 6750 SW Franklin Street, Suite A Portland, OR 97223 (503) 601-0212 info@solomonexamprep.com Office Hours: Monday - Friday: 8:00 AM to 4:30 PM (Pacific Time)

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