Series 14: Chapter 1

Taken from our Series 14 Online Guide

Chapter 1

Regulatory Agencies and Their Jurisdictions

Prior to the Great Depression, people who invested in securities often did so with little knowledge of the market. This wasn’t because investors didn’t want more information. It was because securities markets were largely unregulated, and p

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: Chapter 1, you might also be interested in:

Series 7 - 17.6.5.6 Backing Away (Firm Quote Rule)

Series 28 - Satisfaction of Margin

Series 24 - Dual Member

Series 63 - 5.7.9. Outside Business Activities

Series 99 - 2.5.2 Using Losses to Offset Gains

Series 50 - Credit Risk

Series 24 - Corporate Accounts

Series 14 - 7.3.1.3. Required Number of Principals and Roles Requiring a Designated Principal

Series 28 - Business Reduction

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

The audio book was fantastic, and I passed the Series 65 on my first attempt. Thank you!

Steve O'Dell, Merrill Lynch, Westchester, NY

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC

I passed the Series 26 exam last Thursday. As a Physician with very limited time to sit and study, I listened to the CDs over and over again as I drove to and from work, and that really helped me. I will be ordering the Series 65 materials soon.

Daniel Asiedu, PFS Investments, Lincoln, RI

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 14: Chapter 1

Taken from our Series 14 Online Guide

Since you're reading about Series 14: Chapter 1, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →