Series 14: 4.4.1. Physical Possession Or Control

Taken from our Series 14 Online Guide

4.4.1. Physical Possession or Control

Rule 15c3-3 requires broker-dealers to determine daily the number of fully paid and excess margin customer securities in their possession or control, and the number not in their possession or control. Should a broker-dealer find itself in a deficit position, it must initiate action to eliminate that deficit. Possession means that the securities are physically located

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.4.1. Physical Possession Or Control, you might also be interested in:

Series 66 - 3.6.4.7. Receiving Payment

Series 51 - Sharing in Profits or Losses

Series 65 - 10.3 Performance Guarantees

Series 65 - Convertible Debentures

Series 65 - 2.10.1 Callable Bonds

Series 82 - 3.4.4.7. Wash Sales

Series 65 - 2.3.5.4 Callable Preferred Stock

Series 50 - Important Percentages for Chapter Five

Series 7 - 3.3.2.1.1. Preliminary Official Statement

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 am so happy to say that took my Series 65 Exam and passed on my first attempt! All thanks must go to Solomon Exam Prep and its materials. I read the Study Guide cover to cover 3 times, took notes and took what felt like endless practice quizzes, but I must say that I found the practice questions more difficult than the actual exam! I cannot recommend Solomon Exam Prep enough!

Kevin Blanchard, Meche and Associates. Breaux Bridge, LA

I purchased Solomon Exam Prep to get a leg up on the S66 exam. I had taken it a few times already missing it by 1-2 points. A friend of mine enrolled on the test site and passed it on the first try. We did share notes while she was studying. It was then I realized Solomon has something the other test prep companies did not have, which helped me get over the hump. I will recommend it to anyone who really want to pass it the first time up!

Dany H. First Command Norfolk, VA

THANK YOU SOLOMON! I passed the SIE in December and Series 6 in February. I do not have a background in finance. The study materials prepared me wonderfully for the exams. I used the study schedule - took a ton of practice exams and re-read the material. Also, the testimonials were very encouraging, so I had to share that I had the same amazing experience. Thank you so much!

Candace Chavez, Cetera Investment Services. Wimberley, TX

I passed my Series 99 this past week on my first attempt. I had no previous brokerage and/or investment experience, just a background in finance.

I utilized the combination package with the textbook, video lectures, quiz simulator, and other materials. When I study for future FINRA exams I will utilize Solomon software and recommend it to my colleagues. I learn the most by listening and enjoyed the video lectures that had PowerPoint slides I could download and make notes on. The practice questions were fantastic at reinforcing the material and highlighting areas that I needed extra review on.

Tiffany Kovacevich, PNC Investments, Cleveland, OH

I passed the series 22! Solomon's study materials and exams were the key to my preparation. I tried other companies first, and I knew something was off. After taking the FINRA exam, I know I would have failed if not for Solomon. I cannot overstate this. This test was difficult and foreign. Solomon helped me learn everything I needed to pass the series 22. Many thanks!

Jim Scott, AGES . Ocala, FL

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

Series 14: 4.4.1. Physical Possession Or Control

Taken from our Series 14 Online Guide

4.4.1. Physical Possession or Control

Since you're reading about Series 14: 4.4.1. Physical Possession Or Control, 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 →