Series 14: Chapter 1

Taken from our Series 14 Online Guide

Chapter 1

Regulatory Agencies and Their Jurisdictions

Prior to the Great Depression, people who invested in securities often did so with little knowledge of the market. This wasn’t because investors didn’t want more information. It was because securities markets were largely unregulated, and p

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: Chapter 1, you might also be interested in:

Series 26 - Business Development Companies

Series 63 - Chapter 6 Answers and Explanations

Series 65 - Business Continuity Plans and Emergency Contact Information

Series 26 - Exercise

Series 7 - 6.1.2.2 Balanced Funds

Series 3 - 1.3.4.1. Defining the Players

Series 27 - Exemptions and Special Provisions

Series 7 - 14.2.10 Fiduciary Accounts

Series 24 - 4.1.3.1. Corporations

Series 53 - 2.2.2.2. Annual Affirmation

Series 53 - Purpose of the SIPC

Series 50 - Introductory Section

Series 79 - Metrics, Ratios, and Valuation

Series 24 - Freeriding

Series 66 - Bonus Annuities

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

Started studying May 15. Passed it (Series 7) on June 28 with 91%. Very happy.

Cindy Roggenkamp, St. Cloud, MN

I passed the Series 65 this afternoon! Your online test simulation was terrific. Thanks so much!

David G., San Francisco, CA

The Solomon Prep Course for Series 79 was great! I studied for 12 days, read through the outline and took 15 of the 1/2 exams and a few quizzes, and scored an 82. Thanks very much - I highly recommend Solomon Exam Prep!

Randy Conone, Hudson Capital Advisors, Santa Monica, CA

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 65 on the first try and I would absolutely give credit to this tool. We all learn in vastly different ways, so having the options available for a study guide, audiobook, video training, flash cards, practice tests - and ALL of the other resources available was critical to my success. I've been out of school for over a decade and remembering HOW to study was hard. I'm so glad I had all of these options.

Ashley Dunning, Inspire Investing. Kansas City, MO

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

Series 14: Chapter 1

Taken from our Series 14 Online Guide

Since you're reading about Series 14: Chapter 1, 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 →