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 26 - Reporting of Behavior Violations

Series 79 - A1.1.1. Functions of Financial Markets

Series 51 - Put Options and Repurchase Agreements

SIE - Types of Unsecured Bonds

Series 79 - Chapter 8 Practice Question Answers

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

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

Nate Nead, InvestmentBank.com, Seattle, WA

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

After multiple failed attempts at the Series 6, I felt somewhat defeated. I reached out to Solomon for guidance and I was more than impressed with the response I received. The study material was outstanding and the program structure is truly designed to help you pass! Jeremy Solomon was truly my biggest fan and I can't thank him enough for his help! Solomon is by far the best company out there for test preparation; don't waste any more money on the others this is all you will need to pass!

Tory Hamlin, Agency Owner, Jacksonville, FL

I was having a tough time with the series 26 material. It had been 10 years since I had last studied for a test. I used other material of some big name companies that did not help me to understand what the test was asking. I purchased the Question bank from Solomon and I truly believe it is one of the reasons I was able to power through the exam. The questions were more challenging then the actual test itself which really helped me when it came to crunch time.

Ryan Schlagenhauf, Prudential, Shelton, CT

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