Series 14: 4.1.9.1. Restrictions On Business Expansion

Taken from our Series 14 Online Guide

4.1.9.1. Restrictions on Business Expansion

A member firm that carries customer accounts or clears transactions may not expand its business when a deficiency in its net capital that would require FINRA notification exists for more than 15 consecutive business days. Thus, a deficiency would exis

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.9.1. Restrictions On Business Expansion, you might also be interested in:

Series 54 - 1.6.1.1. Underwriter Disclosures to Issuers (MSRB Rule G-17)

Series 6 - Function Three

Series 27 - Change of Exempt Status

Series 22 - 4.1.3. DPP Offering Practices

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

Passed the SIE on my first attempt! Read the Kaplan study book and didn’t feel prepared enough to pass the exam. Stumbled upon Solomon exam prep and am so thankful I did. The exam simulator with the detailed answers did so much more to help me prepare. Went into the exam confident and passed. I’ll be back for the Series 7!

John N, Indianapolis IN

I utilized a competitor's product and failed the first time I took the Series 53. It wasn't from the lack of studying. After researching what other courses to buy, I luckily found Solomon. The exam material was up to date and the practice exams were much more challenging than the other program. I would highly recommend Solomon and plan on utilizing them if I should have to take another exam. Thank you.

Andrew Shubert, Craft Capital Management, Garden City, NY

I used Solomon for the Series 52 after failing twice with Kaplan and STC. Solomon was immensely more helpful, simpler to understand, and more accurate than both companies combined. The practice questions were very similar to the ones I saw on the exam and the Ask the Professor feature was quick and helpful. I will be using Solomon for the Series 7 in a few months, and I recommend everyone who need to take a FINRA exam to use Solomon before anything else.

Christopher P, Academy Securities. New York, NY.

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

I passed the Series 65 exam on my first attempt. Your practice exams really helped. Thanks again.

Colin Tucker, Little Rock, AR

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

Series 14: 4.1.9.1. Restrictions On Business Expansion

Taken from our Series 14 Online Guide

4.1.9.1. Restrictions on Business Expansion

Since you're reading about Series 14: 4.1.9.1. Restrictions On Business Expansion, 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 →