Series 14: 4.1.9.1. Restrictions On Business Expansion

Taken from our Series 14 Online Guide

4.1.9.1. Restrictions on Business Expansion

A member firm that carries customer accounts or clears transactions may not expand its business when a deficiency in its net capital that would require FINRA notification exists for more than 15 consecutive business days. Thus, a deficiency would exis

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.9.1. Restrictions On Business Expansion, you might also be interested in:

Series 53 - Brokers and Dealers

Series 66 - Taxation of Life Insurance Products

Series 7 - Exercise

Series 66 - 8.1.2.3.2. Registration by Coordination

Series 63 - Exercise

Series 65 - 1.5.1.1.2. Inflation Risk

Series 28 - Changes in Account Name or Designation

SIE - Chapter Four

Series 53 - Yield to Call

Series 53 - SEC Rule 15c2-12: Disclosure Documents

Series 52 - 6.2.2. Tax-Equivalent Yield

Series 7 - 4.3 Taxation of Cash Dividends

Series 24 - Individual Accounts

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 took my test [Series 99] yesterday and passed with 87% on the first attempt. Thank you.

Lynn Zolitor Trading Block Chicago, IL

3rd time is a charm and it took Solomon to do it. None of the other materials in my first two attempts were strong enough to enable me to reason my way to the correct answers. Solomon's angle on this material was closest to the actual test and was the reason I got there.

As an aside, the ongoing personal help was very surprising and commendable. Thank you, Solomon!

Jason Bowen, Southington, CT

Passed that bad boy (Series 79) weeks ago with an 86, kicked its ass. I hate leaving that much room, means I wasted time. Thanks for everything.

Jeff S., Upper Nyack, NY

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ