Series 14: 5.1.2. Branch Office

Taken from our Series 14 Online Guide

5.1.2. Branch Office

A branch office is any location where one or more associated employees are in the business of soliciting or effecting (but not executing) the purchase or sale of any security. An office responsible for supervising the activities of employees at one or more non-branch locations of the member firm is also designated a branch office.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.2. Branch Office, you might also be interested in:

Series 51 - Yield to Call

Series 24 - 3.2.2. By Type of Trading

Series 24 - Corporate Acquisitions

Series 79 - Preferred Stock

Series 51 - Sharing in Profits or Losses

Series 66 - Exercise

Series 26 - Registration of Investment Company Securities

Series 7 - 1.3.6 Protective Provisions

Series 14 - 6.2.1.2. Private Investment in Public Equity (PIPE) Transactions

Series 7 - 3.6.26. Rule G-26—Customer Account Transfer Procedures

Series 65 - Contributing to an IRA

Series 63 - Exercise

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 used Solomon Exam Prep for both the Series 7 and 63. Everyone learns differently, and they have resources for every type of learner. Their practice exams and quizzes push you to be prepared for the most difficult questions, enabling you to be over-prepared (better than the alternative!) for your exam. I received a 93% on the Series 7 and wish the regulators provided a score for the Series 63, but needless to say I passed. If I ever need to take a regulatory exam again, I will look to these guys first.

Suraj P, New York, NY

The audio book was fantastic, and I passed the Series 65 on my first attempt. Thank you!

Steve O'Dell, Merrill Lynch, Westchester, NY

I never would have passed the 79 if not for Karen and Solomon Exam Prep. Thanks guys!

Bob Vinson, Houston, TX

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.

Passed 66 on the first try with flying colors. Solomon materials and advice was spot on. Follow it!

Craig Brand, Capital Financial Services, Nevis, MN

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

Series 14: 5.1.2. Branch Office

Taken from our Series 14 Online Guide

5.1.2. Branch Office

Since you're reading about Series 14: 5.1.2. Branch Office, 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 →