Series 14: 5.1.4.4. Compliance Meeting

Taken from our Series 14 Online Guide

5.1.4.4. Compliance Meeting

Each associated person must participate in an annual compliance meeting or interview. The purpose of this meeting is to ensure that representatives and principals remain current on changing compliance requirements and the firm’s supervisory system. Meetings may be conducted either indi

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.4.4. Compliance Meeting, you might also be interested in:

Series 66 - Registration of Securities

Series 50 - Engineering Exclusion

Series 66 - Trust Accounts

Series 24 - Access to Quotations

Series 24 - Contributing to an IRA

Series 66 - 1.2.1 Time Value of Money

Series 65 - 1.4.3.4 Form 8-K

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

I passed the Series 50 on the first attempt thanks to Solomon's materials. Although the questions on the exam were much more difficult and complex in structure and format than the Solomon practice exams, the study materials & practice exams did enforce the concepts that the actual exam was testing. Thank you Solomon!!!

Lisa Gesin, Gesin Consulting, Dallas, TX

I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH

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

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

Nate Nead, InvestmentBank.com, Seattle, WA

Previously I used another prep company for the Series 63 and did not pass. Second time around I used Solomon and passed! What's more, I felt much more confident from taking the practice exams and working towards a higher and higher probability rate of passing. Thank you Solomon! I'll definitely use you again with any future security exams.

Max Thomas, Finalis / Evalla Advisors LLC. Los Angeles, CA

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

Series 14: 5.1.4.4. Compliance Meeting

Taken from our Series 14 Online Guide

5.1.4.4. Compliance Meeting

Since you're reading about Series 14: 5.1.4.4. Compliance Meeting, 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 →