Saturday, October 27, 2012

FINRA Enforces MSRB rules on David Lerner Associates

If you think that what you study for your exam has "nothing to do with the real world," please check out this story:

Excessive mark-ups will lead to trouble . . . eventually. Ignoring suitability concerns . . . same deal.

Oh well. David Lerner--the guy--will apparently be in the market for some Pass the 7 materials eventually. And, fortuitously, we will have our Pass the 24 materials ready by the time he needs to re-qualify by passing that one as well. Series7SampleQuestions

1 comment:

  1. Prior to working in the finance industry again, Lerner must pass a Series 7 exam. He must pass the Series 24 exam prior to working as a securities principal.