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 53 - Undersubscription

Series 53 - Municipal Securities Dealer Associations

Series 63 - 4.7.1. Requirements for State-Registered Investment Advisers

Series 26 - Sanctions

Series 51 - Registration with MSRB

Series 66 - 9.4.7.1. Best Practices for Forming a Cybersecurity Plan

Series 65 - Exercise

SIE - 2.13. Municipal Bonds

Series 79 - Revenues

Series 66 - 7.5. Investment Advisers Act of 1940

Series 28 - Fair Value Measurement

Series 14 - 6.1.8.1.1. Documentation of Procedures and Actions

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 Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

I used the exam prep guide and online tests to study for the Series 50 exam. I relied completely on these study helps to prepare for the exam, which I passed!

Elizabeth Hill, Bright Bay Advisors, LLC, Long Beach, NY

I passed my series 6 exam due to the Solomon Exam Prep online material and practice exams. Thank you Jeremy Solomon for personally calling and emailing me some tips/advice!

Kevin Lafleur, WoodmenLife, Ville Platte, LA, Series 6

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

Series 14: 5.1.4.2. Chain Of Command

Taken from our Series 14 Online Guide

5.1.4.2. Chain of Command

Since you're reading about Series 14: 5.1.4.2. Chain Of Command, 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 →