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 3 - 6.1.6.1.2.3. Important Lagging Indicators

Series 66 - 2.5.2.1 Technical Analysis

SIE - Payments to Unregistered Persons

Series 6 - 5.3.1.1. Non-Traditional ETFs

Series 24 - 5.5.2.2.2. Types of Time Orders

Series 65 - Direct Participation Programs (DPPs)

Series 14 - 6.1.8.1.1. Documentation of Procedures and Actions

Series 7 - 13.2 Reporting Requirements

Series 52 - 7.4.3. Federal Reserve Operations

SIE - 6.1.2. Types of Securities Offerings

Series 66 - Chapter Four: Client Accounts, Client Profiles, and Portfolio Analysis

Series 24 - 5.14.7. Transactions, Quotations, and Indications of Interest During Trading Halts

Series 54 - 1.5.7. Accountant Exemption

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 exam yesterday. Thanks for your help and everyone at Solomon. You guys are great!!!

Tom Armstrong, Berliner Cohen, San Jose, CA

I would definitely recommend Solomon study materials. "Ask the Professor" was a great tool, and Karen answered my questions faster than I could keep up! I was easily able to pass the Series 79 sticking to Solomon's 6 week study program.

Julie B, Vancouver, BC Canada

The Series 79 can be quite tricky, thankfully Solomon Exam Prep had practice test questions that were just as tricky. Solomon's Test Prep is definitely effective and is less expensive than other Test Prep companies.

Justin Jeangerard, Sundial Group, Ft. Lauderdale, FL

Thank you for the flexibility and the study material for 63, I ended up with an 87 thanks to your materials! Thank you Solomon!

Allen Ruffles

Nailed my Series 63!! Solomon, y'all rock! Passed this exam after failing twice with another vendor. So folks, use Solomon and PASS!

Sri Murali, Regions Investment Solutions, Baton Rouge, LA

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 →