Series 14: 5.2.7.3.3. Automatic Exemptions

Taken from our Series 14 Online Guide

5.2.7.3.3. Automatic Exemptions

If a dealer or advisor discovers a political contribution by one of its MFPs or MAPs that triggers the ban, it may qualify for an automatic exemption. Automatic exemptions must meet three requirements:

• The firm discovered the political contribution within four months from the date of the co

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.7.3.3. Automatic Exemptions, you might also be interested in:

Series 79 - A1.6.1.2. Callable Bonds

Series 65 - Risk Modification Techniques

Series 99 - 3.1.13 Market Manipulation

Series 7 - 2.9.3. High-Yield or Junk Bonds

Series 51 - Municipal Fund Disclosures

Series 66 - Tax Basis of Gifted 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

I passed the Series 63 with the help of the Solomon materials. I loved the audio books and the quiz and test questions were extremely helpful. Thank you Solomon!

Diane Kotil, Quasar Distributors, Milwaukee, WI

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

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

Bob Vinson, Houston, TX

I was using a different study program and failed my exam. Once I enrolled in Solomon’s program I not only passed, but improved by over 20%. The practice exams were very close to the language on the FINRA exams.

Ryan P., Frederick, MD

The materials for the SIE were very well organized and presented. The study guide is comprehensive and easy to understand. Beyond that what I found the most valuable were the practice exams particularly the detailed explanations after each set of answers. There are so many hidden gems in there be sure to scroll down so as not to miss that information. We done Solomon Prep!

Matthew Gould, GreyMan Management . Scottsdale, AZ.

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

Series 14: 5.2.7.3.3. Automatic Exemptions

Taken from our Series 14 Online Guide

5.2.7.3.3. Automatic Exemptions

Since you're reading about Series 14: 5.2.7.3.3. Automatic Exemptions, 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 →