Series 14: 7.3.5.9. Continued Association With A Person Subject To A Statutory Disqualification

Taken from our Series 14 Online Guide

7.3.5.9. Continued Association with a Person Subject to a Statutory Disqualification

As discussed in Chapter 5, a person can be statutorily disqualified due to a variety of events, such as a felony conviction, expulsion from FINRA, or making a false statement on Form U4. If a firm wishes to employ or continue its association with a person who is subject to statutory dis

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 7.3.5.9. Continued Association With A Person Subject To A Statutory Disqualification, you might also be interested in:

Series 22 - 1.1.3.2. Agreement of Limited Partnership

Series 52 - 8.4.1.1.1. Net Capital Rule (Rule 15c3-1)

Series 65 - 10.9.4 Wrap Fees

Series 66 - 2.2. Preferred Stock

Series 24 - 1.2.2. Broker-Dealers and the FINRA Membership Process

Series 53 - Acceptance of Delivery

Series 24 - Customer Trade Confirmations and Completing a Transaction

Series 52 - 4.1.4.3. Joint Trading

Series 26 - Supervisory System

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

Solomon Exam Prep prepared me well with a large variety of questions on the practice exams. I was able to pass my SIE on my first attempt, onto the Series 7!

Andrew Johnson, First State Investment Services. Worthington, MN

I struggled with passing the Series 52 exam. I used study materials from Kaplan & STC Interactive. It wasn't until I used Solomon's materials that I was able to pass the exam.

Belinda Wilson, Stifel Nicolaus & Co, Montgomery, AL

I passed the Series 50 on the first attempt thanks to Solomon's materials. Although the questions on the exam were much more difficult and complex in structure and format than the Solomon practice exams, the study materials & practice exams did enforce the concepts that the actual exam was testing. Thank you Solomon!!!

Lisa Gesin, Gesin Consulting, Dallas, TX

I just took the Series 24 and passed with an 80%. I couldn't have done it without the Solomon test simulator.

Joseph Shapiro, Edward Jones Investments, St. Louis, MO

I used Solomon Exam Prep for both the Series 7 and 63. Everyone learns differently, and they have resources for every type of learner. Their practice exams and quizzes push you to be prepared for the most difficult questions, enabling you to be over-prepared (better than the alternative!) for your exam. I received a 93% on the Series 7 and wish the regulators provided a score for the Series 63, but needless to say I passed. If I ever need to take a regulatory exam again, I will look to these guys first.

Suraj P, New York, NY