Series 14: 6.1.7. Regulation M And Market Manipulation

Taken from our Series 14 Online Guide

6.1.7. Regulation M and Market Manipulation

Regulation M was put in place to try to deter unfair manipulation of the price of the stock before, during, or after a public offering. In the past, underwriters were tempted to “con

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 6.1.7. Regulation M And Market Manipulation, you might also be interested in:

Series 6 - Chapter 3 Practice Questions

Series 28 - Three-Year Minimum

Series 66 - Compensation

Series 6 - 4.1.1.2. Common Stock Shareholder Rights

Series 82 - 4.7.3.4. Formal Hearings

Series 7 - 14.4.4 Day-Trading Accounts

SIE - 8.4.5.3. Adjustment of Open Orders

Series 26 - Annual Amendments to Registration Statement

Series 14 - 7.2.1.3.2. Other Registration Forms

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 my Series 99 exam in a very short period of time and this wouldn’t be possible without the incredible material from Solomon Exam Prep. The preparation material is very comprehensive and always updated with recent changes in FINRA rules/industry practice. I scored 92%!!

Venu Rathi, The Carlyle Group, New York, NY

Just finished the Series 82 in just over an hour. Got an 86%. Your preparation and support was instrumental!! Thanks SO MUCH!!!

Ariel Shlien, Montreal, Canada

I took the Series 63 and passed on the 1st attempt. I have my degree in Exercise Science and had no previous finance training. I highly recommend the Solomon Exam Prep. Followed the recommended study plan and passed 8 practice tests. The practice exams prepared me for the actual test and I felt like the actual test was easier then the practice tests. Thank you Solomon!

Gary Kilanowski. Scottsdale, AZ

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH

I just passed the Series 50 exam! Yay! The Solomon Exam Prep materials are excellent. I utilized the guide book, on-line lecture, on-line course, on-line study guide and quizzes. The "Ask the Professor" feature was very helpful as well. I highly recommend their resources.

Lori Volz, Baker Tilly, Minneapolis, MN