Series 14: 3.2.1. Short Interest Reporting

Taken from our Series 14 Online Guide

3.2.1. Short Interest Reporting

Member firms must maintain a record of total “short” positions for every customer equity account and must regularly report this information to FINRA. An investor has a net long position when it contains more long than short positions in a security or market sector but includes both. Even though a position is net long and will benefit from a rise in prices, firms must report the

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.2.1. Short Interest Reporting, you might also be interested in:

Series 51 - Exception for Reserve Fund

Series 3 - 7.4.4. Recordkeeping Requirements

Series 7 - 1.2.2.5. Right of Limited Liability

Series 50 - The Value of Credit Enhancements

Series 3 - Chapter One

Series 22 - 2.3.1. Tax Deductible Expenses

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'm incredibly grateful I chose Solomon Exam Prep to prepare me for the Series 79. The materials are very thorough and up-to-date, and the staff incredibly dedicated, knowledgeable and helpful - both of which are extremely necessary to pass this difficult exam. And, I passed! Thank you Solomon!

Krista Barbour, Boulder, CO

I would definitely recommend Solomon study materials. "Ask the Professor" was a great tool, and Karen answered my questions faster than I could keep up! I was easily able to pass the Series 79 sticking to Solomon's 6 week study program.

Julie B, Vancouver, BC Canada

I passed the Series 82 with the help of Solomon and I am more than happy to put myself in their hands to help me pass 24 and 79 still ahead of me. The materials were excellent and the staff was very responsive and helpful. Highest recommendation!

David Barrosse, Managing Partner, Capstone LLC

I passed first try! Three hours and forty-five minutes might seem like a long time, but it flew by. The Solomon Exam Prep conditioned me very well. Utilizing the chapter quizzes and practice exams really helped apply my learning, and also helped with time management. (Series 7)

Ryan Thibault, PNC Investments. Lakewood, OH.

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

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

Series 14: 3.2.1. Short Interest Reporting

Taken from our Series 14 Online Guide

3.2.1. Short Interest Reporting

Since you're reading about Series 14: 3.2.1. Short Interest Reporting, 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 →