Series 14: 9.3.2. Preventing Misuse Of Research Reports

Taken from our Series 14 Online Guide

9.3.2. Preventing Misuse of Research Reports

Because research analysts know ahead of time what their research reports will say, there must be safeguards in place to prevent analysts from using this knowledge for personal benefit.

The general prohibition on trading ahead of research reports was discussed in Chapter 2. In addition, FINRA req

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 9.3.2. Preventing Misuse Of Research Reports, you might also be interested in:

Series 26 - Types of Annuities

Series 50 - Documentation of Municipal Advisory Relationship

Series 66 - Registration Exceptions

Series 53 - Yield and Dollar Price Calculations

Series 82 - Appeals

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 65 exam on my first attempt. Your practice exams really helped. Thanks again.

Colin Tucker, Little Rock, AR

The materials for the SIE were very well organized and presented. The study guide is comprehensive and easy to understand. Beyond that what I found the most valuable were the practice exams particularly the detailed explanations after each set of answers. There are so many hidden gems in there be sure to scroll down so as not to miss that information. We done Solomon Prep!

Matthew Gould, GreyMan Management . Scottsdale, AZ.

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I passed the Series 7 on my first attempt after using the Solomon study book and practice tests. The practice tests were crucial in understanding how the official exam would ask questions and greatly benefited me.

Jeff D, Securities America, La Vista, NE

Thank you so much for the easy reading! I passed the 51 on my first attempt!!

Amber Carrick, Keystone Financial Management, Bath, PA

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

Series 14: 9.3.2. Preventing Misuse Of Research Reports

Taken from our Series 14 Online Guide

9.3.2. Preventing Misuse of Research Reports

Since you're reading about Series 14: 9.3.2. Preventing Misuse Of Research Reports, 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 →