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 7 - 18.1.3 Investment Company Act of 1940

Series 24 - 3.9.4. Non-Qualified Retirement Plans

Series 3 - 5.3.5.3. Reverse Calendar Spread

Series 50 - Exercise

Series 6 - 4.1.2.1. Preferred Dividends

Series 63 - 4.10. Practical Application

Series 66 - Moderate-Risk DPPs

Series 53 - 2.4. Member Supervisory Controls

Series 79 - A.6.6. Government Bonds

Series 52 - 8.4.2. MSRB Rules

Series 24 - Fiduciary Accounts

Series 79 - 3.1. Liquidity Metrics

Series 63 - Practice Exam #1

Series 24 - Form U4

Series 24 - Credit Agreement

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

Nailed my Series 63!! Solomon, y'all rock! Passed this exam after failing twice with another vendor. So folks, use Solomon and PASS!

Sri Murali, Regions Investment Solutions, Baton Rouge, LA

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 studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

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

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY

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 →