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 53 - Book-Entry Bonds

Series 63 - Appendix A

Series 79 - Profit Margins

Series 50 - Inadvertent Advice

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 just passed my Series 26, Principal license. Thank you Solomon, the content was great and the exam simulator was the perfect tool to get this passed!

Greg Fierle, American Fidelity. Springboro, OH

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.

I loved using Solomon Exam Prep. I used Solomon for 1 month and passed my Series 65 exam. I had previously used Kaplan and failed the same exam. I feel as if Solomon provided significantly better Exam prep and technology in a more concise manner than any other system I have used. Thank you for such a great service.

Mackenzie Abbate Knights of Columbus Slidell, Louisiana

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC

After using other exam preps, I settled on Solomon. This material was spot on! If you follow the study guides, read the chapters, watch the videos and listen to the audio, you will pass!! Good Luck! Thank you Solomon!

Celeste Gullo, Allstate Insurance, Glen Head, NY

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 →