Series 14: 2.8.4. Front Running

Taken from our Series 14 Online Guide

2.8.4. Front Running

Front running is when a member firm or a registered representative trades a security ahead of a customer trade (usually a block order of 10,000 shares or more) in the expectation that the customer trade will affect the price of the security. This is prohibited even if the registered representative has discretion over the client’s account, because this activity would put the

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.8.4. Front Running, you might also be interested in:

Series 26 - Order Tickets and Order Memoranda

Series 50 - CMO Structures

Series 65 - 2.13.6. Certificates of Deposit (CDs)

Series 22 - 6.6.2.1. Settlement Offers

Series 53 - 4.2.4.10.4. Investors at the Same Address

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 initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Passed the SIE on my first attempt! Read the Kaplan study book and didn’t feel prepared enough to pass the exam. Stumbled upon Solomon exam prep and am so thankful I did. The exam simulator with the detailed answers did so much more to help me prepare. Went into the exam confident and passed. I’ll be back for the Series 7!

John N, Indianapolis IN

Passed the 65 with an 80% and the 6 with an 87%. Passed both of them on the first try. I give the credit to Solomon. I've had a lot of my friends try other vendors but they were glad to take my advice and switch to Solomon. This course helps you understand the concepts so you can think out the uniquely crafted questions the actual tests ask. Thanks so much.

Gerald Barnes, Client One, Peoria, AZ

Thanks to Solomon, the 79 went smoothly. Your materials were phenomenal in my preparation.

Nate Nead, InvestmentBank.com, Seattle, WA

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