Series 14: 5.2.6.1. Prohibition On Guaranteeing Customers Against Loss

Taken from our Series 14 Online Guide

5.2.6.1. Prohibition on Guaranteeing Customers Against Loss

FINRA prohibits member firms and their associated persons from guaranteeing a customer against loss in connection with any securities transaction with his account in general. This includes offering to reimburse customers for losses.

FINRA Rule 2150(b)

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.6.1. Prohibition On Guaranteeing Customers Against Loss, you might also be interested in:

Series 79 - Filing Preliminary and Definitive Proxy Statements: Exchange Act Rule 14a-6

Series 14 - 3.3. Program Trading

Series 6 - 3.3.1. Traditional IRAs

Series 24 - Time in Force (TIF) Designations

Series 3 - 4.3.1.2. Covered Call

Series 66 - Individual Income Tax System

Series 79 - Distribution of Prospectuses

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've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

Andrew Romans, Los Altos, CA

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA

I thought the Series 79 materials were top notch. The Solomon practice exams were pretty spot on to what I encountered when I took the exam. Your course was key to my passing the exam on the first try. Thank you and money well spent.

Jeffrey Bartlett RSA Capital, Mequon, Wisconsin

I recently passed the series 62 & 63 FINRA exams (first try). The practice exams (with never repeating questions), helped prepare me thoroughly for the challenging questions ahead on the actual tests. Thanks Solomon!

Austin Najib, Key West Investments, San Gabriel, CA

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

Series 14: 5.2.6.1. Prohibition On Guaranteeing Customers Against Loss

Taken from our Series 14 Online Guide

5.2.6.1. Prohibition on Guaranteeing Customers Against Loss

Since you're reading about Series 14: 5.2.6.1. Prohibition On Guaranteeing Customers Against Loss, 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 →