Series 14: 5.1. Member Supervisory Procedures And Controls

Taken from our Series 14 Online Guide

5.1. Member Supervisory Procedures and Controls

FINRA Rule 3110 outlines in detail a procedural framework by which a supervisor’s responsibilities will be known and procedures set in place for their execut

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1. Member Supervisory Procedures And Controls, you might also be interested in:

Series 65 - Net Income

Series 24 - Payments for Referrals

Series 53 - Cancellations and Reclamations

Series 82 - 3.6. Reports and Recordkeeping

Series 24 - 1.1.1.7.1. Fees and Assessments

Series 26 - SEC/FTC Red Flags Rule

Series 7 - Chapter 16 Practice Question Answers

Series 53 - Recordkeeping Maintenance Responsibilities

Series 24 - Preservation of Other Records

Series 50 - Liquidity Risk for Auction Rate 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

You guys produce a great product, and your 82 materials really saved my life. Thanks.

Joshua M. Salisbury, Salisbury Financial, Atlanta, GA

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 passed the 24 the first time with the help of the Solomon materials. The online course and the exams really helped focus in and clarify what was important. I've recommended them to all of my colleagues!

Corrinne Kaucher

I used Solomon to sit Series 24 and Series 79, passing with 81% and 88% respectively. Having looked at other material providers, Solomon stands out because of their prompt replies to student questions and the completeness of the answers provided – they are the best out there!

Chris Brice,CFA Bell Potter Cantley, Québec, Canada

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN

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

Series 14: 5.1. Member Supervisory Procedures And Controls

Taken from our Series 14 Online Guide

5.1. Member Supervisory Procedures and Controls

Since you're reading about Series 14: 5.1. Member Supervisory Procedures And Controls, 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 →