Series 14: 3.2.3. Reports By Institutional Investment Managers: Form 13F

Taken from our Series 14 Online Guide

3.2.3. Reports by Institutional Investment Managers: Form 13F

Form 13F is a report filed quarterly by large investment managers disclosing their holdings. Exchange Act Rule 13f-1 requires every institutional investment manager that exercises investment discretion over $100 million or more in “Section 13(f) securities” to file a Form 13F. (Section 13(f) securities are essentially equity securities that are traded on stock exchanges or Nasdaq.) An institutional investment manager is any entity that invests or trades in securities for its own account or exe

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.2.3. Reports By Institutional Investment Managers: Form 13F, you might also be interested in:

Series 7 - Exercise

Series 26 - Six-Year Records

SIE - 8.2.7.2. Uniform Transfers to Minors Act (UTMA) Accounts

Series 27 - Other Exempted Securities

Series 7 - Exercise

Series 65 - The Securities Act of 1933

Series 26 - Insider Trading

Series 3 - 7.6.1. NFA Disciplinary Procedures

Series 63 - Post-Registration Requirements

Series 24 - 3.6.2.3.3. Options

Series 7 - 3.2. Types of Municipal Securities

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

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY

I used your materials for the Series 79, Series 82, and the Series 63 and scored all in the mid-80% range. Thanks for your help and support!

Carlie Headapohl San Diego, CA

I passed the S7 TO first time it was introduced from last year. I have used several books and none of them could be as complete as this one. I am a living witness to the completeness of your course material. If that was not the case, I would not have passed this very difficult exam. I owe my success to your exam materials and no other book, from those I know have come close. I am going to study for the Series 66 through Solomon Exam Prep. If this can help me through, then I am sure many more people would also succeed.

Stalin Miki, Bankerslife, Miami, FL

Many thanks to the fine staff at Solomon Exam Prep. I'm happy to report that I passed the Series 50 Municipal Advisor exam on my first attempt. The written material is extremely thorough and comprehensive. With respect to the online quizzes and final exams, the questions are very comparable in difficulty to the actual exam, thus providing the foundation for success. A special word of thanks to Carson for his encouragement and support.

Tony Chiappetta, Sudsina & Associates, Mars, PA

Taking the Series 24 class with Karen Solomon this week helped reinforce the data that I learned, and I passed my exam! The material was thorough and the exam simulator was an excellent tool to test your knowledge. Thank you Karen!

Karen Lessard, Concorde Investment Service Frisco, TX