Series 14: 5.1.4.2. Chain Of Command

Taken from our Series 14 Online Guide

5.1.4.2. Chain of Command

Every branch office is required to designate at least one General Securities Representative (Series 7) or General Securities Principal (Series 24) with the supervisory authority and responsibility for the activities of that office and any non-branch offices in its jurisdiction

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.4.2. Chain Of Command, you might also be interested in:

Series 14 - 7.3.5.9. Continued Association with a Person Subject to a Statutory Disqualification

Series 24 - 3.5.5.5. Purchasing and Redeeming Mutual Fund Shares

Series 65 - 2.1.1.7 Preemptive Rights

Series 27 - Employee Records

Series 50 - Disclosure Exceptions

Series 54 - 1.5.6. Registered Swap Dealer Exemption

Series 63 - Chapter 2 Practice Question Answers

Series 63 - Chapter 9 Answers and Explanations

Series 24 - Adjustment of Open Orders

Series 52 - 7.4.3. Federal Reserve Operations

Series 66 - Bearish Patterns

Series 79 - “Written Communication” Defined

Series 63 - Investment Company Act of 1940

Series 65 - 3.1.2.1. Equity Funds

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

Just passed my Series 7 using Solomon Exam Prep! Have used Solomon for my Series 79 as well. Both study programs are excellent and felt well prepared sitting for my exams. Would recommend to others in the industry.

Natasha Trilli, Ocean Park. Houston, TX

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

I haven't taken an exam in about 15 years and I'm happy to report that I passed the Series 50 Municipal Advisor exam on my first attempt. The material was extremely thorough and comprehensive. The online questions, quizzes and exams were very comparable in difficulty to the actual exam, thus providing the foundation for my success. Thank you for your guidance.

J. Mark Chapman, IBIC LLC, Madison, CT

Questions from the exam simulator were pretty similar to the actual series 52 exam, and I felt prepared with the study guide. I will be purchasing the series 53 study materials from Solomon in the near future.

Del Martin, Packerland Brokerage Services. Green Bay, WI

Thanks to Solomon, the 79 went smoothly. Your materials were phenomenal in my preparation.

Nate Nead, InvestmentBank.com, Seattle, WA