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 24 - 2.2.2.2. Sales at the Market

Series 28 - Units of Delivery for UITs and Certificates of Deposit

Series 53 - Exercise

Series 79 - Risk Arbitrage

Series 65 - 2.13.1. Commercial Paper

Series 52 - 9.2.2.2. Issue Information

SIE - Exercise

Series 24 - Locking In

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

Many thanks to the fine staff at Solomon Exam Prep. I'm happy to report that I passed the Series 50 Municipal Advisor exam on my first attempt. The written material is extremely thorough and comprehensive. With respect to the online quizzes and final exams, the questions are very comparable in difficulty to the actual exam, thus providing the foundation for success. A special word of thanks to Carson for his encouragement and support.

Tony Chiappetta, Sudsina & Associates, Mars, PA

Solomon Exam Prep material was great. Explained in a way that is easy to learn and follow. Test questions really help the material sink in. I had failed the Series 66 twice using another service. When it came time to find new material for the Series 65 and Series 63 Solomon was it. I passed both the 65 & 63 with flying colors and I have Solomon to thank for that.

Jeff Champigny, Merrill Lynch, Greensboro, NC

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

Started studying May 15. Passed it (Series 7) on June 28 with 91%. Very happy.

Cindy Roggenkamp, St. Cloud, MN

I passed the Series 7 on my first attempt. In fact, five years ago, I also passed both the Series 6 and 63 on my first attempt. In all cases, I used Solomon Exam Prep materials which make sometimes 'dry' topics much more readable. Also, having the option to take an unlimited number of practice tests and receive immediate, thorough feedback was invaluable. I highly recommend them!

Blaine Burnett

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 →