Series 14: 8.4.1. Disclosure Of Conflicts Of Interest To Customers

Taken from our Series 14 Online Guide

8.4.1. Disclosure of Conflicts of Interest to Customers

Broker-dealers must always notify their customers of potential conflicts of interest. Section 15(c)(1) of the Exchange Act prohibits brokers and dealers from attempting to buy or sell any security by means of any manipulative, deceptive, or other fraudulent device.

Control relationships and participating interest in a security. Whenever a broker-dealer has any sort of controlling relatio

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 8.4.1. Disclosure Of Conflicts Of Interest To Customers, you might also be interested in:

Series 6 - 7.4.1.5.4. Profit Margins

Series 65 - 6.3.1. Traditional IRAs

Series 7 - 7.1.2.2. Equipment Leasing

Series 22 - 3.2.2. Characteristics of Equipment Leasing Programs

Series 53 - Order Period and Order Priorities

SIE - 3.2.1. Distributions

Series 82 - 3.4.4.1. Calculating Capital Gains and Losses

Series 7 - Chapter 4 Practice Questions

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

Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.

Tom L., Atlanta, GA

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

Passed the 52 and 53 within two months thanks to the clarity of Solomon's materials. Great product!

Jonathan Bowman, Raymond James. Ennice, NC

I passed the Series 82 with the help of Solomon and I am more than happy to put myself in their hands to help me pass 24 and 79 still ahead of me. The materials were excellent and the staff was very responsive and helpful. Highest recommendation!

David Barrosse, Managing Partner, Capstone LLC

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

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

Series 14: 8.4.1. Disclosure Of Conflicts Of Interest To Customers

Taken from our Series 14 Online Guide

8.4.1. Disclosure of Conflicts of Interest to Customers

Since you're reading about Series 14: 8.4.1. Disclosure Of Conflicts Of Interest To Customers, 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 →