Series 14: 6.1.8.1.3. Supervision Of Inter-Departmental Communications

Taken from our Series 14 Online Guide

6.1.8.1.3. Supervision of Inter-Departmental Communications

Chinese Wall policies and procedures must be reasonably designed to restrict the flow of material, nonpublic information to employees with a “need to know.” These procedures may require separate recordkeeping and support systems for, or even physical separation of, departments such as investment banking that have regular access to c

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 6.1.8.1.3. Supervision Of Inter-Departmental Communications, you might also be interested in:

Series 52 - 3.2.2.1. Soliciting the Bid

Series 65 - Business Cycles

Series 26 - Investment Company Advertisements and Sales Literature

Series 79 - 2.3.1. Types of Systematic Risk

Series 65 - Trust and Estate Accounts

Series 22 - Disclosure Reporting to the Public: BrokerCheck

Series 14 - 4.1.8. Subordination Agreements

Series 65 - Federal vs. State Registration for IAs

SIE - 5.1.1.2.8. Reinvestment Risk

Series 65 - 9.2 Authority of the Administrator

Series 82 - 3.4.4.8.4. Zero Coupon Bonds

Series 27 - Margin Account Withdrawals

Series 51 - Advertisements (MSRB Rule G-21)

Series 22 - 2.4.5. Limitation on LLC and Limited Partnership Loss Deductions

Series 63 - 3.1.2.3.2 Registration by Coordination

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

Recently passed the FINRA Series 22 Exam. Though the exam is short, the material is obscure and not what you deal with every day in the industry. Solomon did a great job of putting together material and providing a deep understanding. After about 6 weeks of studying and taking 2 practice exams a day, I passed the exam on the first try! Thanks for putting together a robust training product.

Eric Stroehle, Steelwater Wealth Management. Oakville, CT

I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon Exam preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam.

Cachet Johnson, PNC, Cleveland, OH

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN

I passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY

I just passed the Series 79 exam. You guys rock! And your price beats the competitors'. Thanks for the great materials.

Bin Xie, Houston, Texas