Series 14: 6.1.8.1.3. Supervision Of Interdepartmental Communications

Taken from our Series 14 Online Guide

6.1.8.1.3. Supervision of Interdepartmental Communications

Chinese wall policies and procedures must be reasonably designed to restrict the flow of material, nonpublic information to employees with a “need to know.” These procedures may require separate recordkeeping and support systems for, or even physical separation of, departments such as investment banking that have regular access to co

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 6.1.8.1.3. Supervision Of Interdepartmental Communications, you might also be interested in:

Series 24 - Conditions of FINRA Membership

Series 79 - 4.2.1. Example Comparable Companies Analysis

Series 66 - 1.2.3. Yield

SIE - 7.3.2.2. Yield Curves

Series 53 - Request for Proposals

Series 24 - Types of Issuer Organizations

Series 24 - 5.7.1.2.1. Trade Reporting

Series 7 - 7.1.2. Types of DPPs

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 used the exam prep guide and online tests to study for the Series 50 exam. I relied completely on these study helps to prepare for the exam, which I passed!

Elizabeth Hill, Bright Bay Advisors, LLC, Long Beach, NY

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

Recently passed the Series 24 Exam. I owe it to the Solomon Exam Prep series. The format of study and testing preparation was easy to follow and comprehend. I had taken the exam before and used study material through a different provider. It did not give me the sense of readiness in the "connection of the dots" and time-management like the Solomon series did. Such a relief to see the word PASS.

Hope Brackin, Cambridge Investment Research, Inc., Auburn, AL

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

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