Series 14: 5.1. Member Supervisory Procedures And Controls

Taken from our Series 14 Online Guide

5.1. Member Supervisory Procedures and Controls

FINRA Rule 3110 outlines in detail a procedural framework by which a supervisor’s responsibilities will be known and procedures set in place for their execut

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1. Member Supervisory Procedures And Controls, you might also be interested in:

Series 24 - 5.15. Trading Halts

Series 79 - Beneficial Ownership Reports of Insiders: Forms 3, 4, and 5

Series 63 - Series 63 Online Guide

SIE - Trust Accounts

Series 66 - 8.1.6. State Jurisdiction over Fraudulent Securities Activities

Series 52 - Chapter Nine

Series 51 - Rule G-39—Telemarketing Rules

Series 24 - Form 4

Series 79 - 14.3.2. The Approval Process

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

Thanks! I am thrilled. I took the Series 7 three years ago and have been putting off the Series 63 after I failed the first time. I used your book and iPhone app. I am recommending your materials to everyone in my office that needs to take the 63 in the near future. Of course you can use my email as a testimonial. Everything that people have said on the testimonials is 100% correct. The way the materials are written makes it much less of a chore to read and comprehend. Thanks for the follow up email!

Julia Smith, RBC Wealth Management

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

Thank you for the flexibility and the study material for 63, I ended up with an 87 thanks to your materials! Thank you Solomon!

Allen Ruffles

Your exam prep is the best! Passed both the 6 and 63 using Solomon and I recommend it to everyone.

Karen, Colorado Springs, CO

I just passed my Series 26, Principal license. Thank you Solomon, the content was great and the exam simulator was the perfect tool to get this passed!

Greg Fierle, American Fidelity. Springboro, OH

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

Series 14: 5.1. Member Supervisory Procedures And Controls

Taken from our Series 14 Online Guide

5.1. Member Supervisory Procedures and Controls

Since you're reading about Series 14: 5.1. Member Supervisory Procedures And Controls, 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 →