Series 14: 3.1.2.1.1. Customer Authorization Records

Taken from our Series 14 Online Guide

3.1.2.1.1. Customer Authorization Records

No member or associated person may obtain from a customer or submit for payment a check or draft drawn on a customer’s checking, savings, or similar account, wi

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.1.2.1.1. Customer Authorization Records, you might also be interested in:

Series 6 - 7.5.3.2. Six-Year Records

Series 50 - Recordkeeping Requirements

Series 24 - Non-Branch Locations

Series 65 - Mutual Fund Manager Tenure

Series 3 - 7.1.4.1. Domestic Commodity Trading Advisor Exemptions

Series 24 - Mortgage-Backed Securities

Series 63 - 3.3.3. Other Penalties and Liabilities

Series 53 - Records for Secondary Market Trading Account Transactions

Series 79 - Other Types of Preferred Shares

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

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN

Solomon Exam prep did a great job helping me prepare for the Series 50. The exam simulator was excellent and I felt so prepared during the exam!

Amber Nielsen, Baker Tilly Municipal Advisors. Mishawaka, IN

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN

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

Amber Carrick, Keystone Financial Management, Bath, PA

Dear Solomon Exam Prep, Thank you for your great exam prep materials for the Series 82 Top-Off Exam...I recently took it and passed.

Mordechai Slovin, Palladium Capital Advisors, Israel

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

Series 14: 3.1.2.1.1. Customer Authorization Records

Taken from our Series 14 Online Guide

3.1.2.1.1. Customer Authorization Records

Since you're reading about Series 14: 3.1.2.1.1. Customer Authorization Records, 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 →