Series 14: 4.1.3.4. Mutual Fund Brokers

Taken from our Series 14 Online Guide

4.1.3.4. Mutual Fund Brokers

If a firm only deals in mutual funds and sells on a subscription basis only, the minimum net capital requirement is $5,000. A broker that sells on subscription does not accept customer

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.3.4. Mutual Fund Brokers, you might also be interested in:

Series 66 - 4.5.5 Capital Goal Within Specified Time Period

Series 24 - Supervisory System

Series 66 - 7.1.1. Exemptions to the Securities Act of 1933

Series 26 - Communications to Be Filed with FINRA

Series 3 - 4.1.3. Long Put

Series 7 - 7.1.5 How a DPP Raises Capital

Series 28 - Written Supervisory Procedures (WSPs)

Series 24 - Mergers

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

Passed the Series 6 exam! The study material and practice exams are the best. If you're an Allstate agent needing the SIE & the Series 6, Solomon is the way to go!

Christopher McHugh, McHugh Insurance Group, Inc., Boca Raton, FL

I used the exam prep guide and online tests to study for the Series 50 exam. I relied completely on these study helps to prepare for the exam, which I passed!

Elizabeth Hill, Bright Bay Advisors, LLC, Long Beach, NY

Wow!!! Well all I can say is that Solomon Test Prep not only helped me pass the SIE first time but ensured I felt confident about the test beforehand! I will say that the practice tests are definitely harder than the real thing so if your probability passing is over 70% you are good to go! Thanks Solomon!

Lee Schmidt, Thiesen and Dueker Financial Group. Fresno, CA.

After trying numerous study materials, Solomon was the key to pass my Series 24. The live class was a perfect complement. Thank you Karen for your assistance!

Marie, Miami, FL

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI

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

Series 14: 4.1.3.4. Mutual Fund Brokers

Taken from our Series 14 Online Guide

4.1.3.4. Mutual Fund Brokers

Since you're reading about Series 14: 4.1.3.4. Mutual Fund Brokers, 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 →