Series 14: 9.1.4.1. Securities Futures

Taken from our Series 14 Online Guide

9.1.4.1. Securities Futures

Any securities futures retail communication must be accompanied by a risk disclosure document if it offers recommendations or performance assessments or mentions the specific names of securities. Statements referring to the potential opportunities of securities futures must be balanced by a

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 9.1.4.1. Securities Futures, you might also be interested in:

Series 6 - 6.3.4. Insurance Loans

Series 99 - 3.2.4.1 Purchase and Sales Department

Series 66 - 3.1.2.4. Money Market Funds

Series 65 - Commodities

Series 51 - Rule G-12—Uniform Practice Rules

Series 14 - 2.4.3.3. Consolidated Tape

Series 7 - 8.3.1. Term Life Insurance

Series 3 - 7.3.6.3. Electronic Communications

Series 50 - Securities Exempt from Registration

Series 24 - Exchange Traded Funds (ETFs)

Series 24 - 3.8.1.5. Additional Fees

Series 54 - Anti-Fraud Regulation

Series 65 - 4.5.5.1.2.1. High-Risk 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 am 73 years old and have been retired for 5 years. My fulfilling career of 38 years was mainly as a portfolio manager in a trust setting. A good friend of mine recently started an RIA and asked me to consider coming to work for him. Since I loved my job and retirement is boring in comparison, the decision to jump back in was rather easy. You know the old saying: if you love what you do, you will never work a day in your life. But yes, I must first pass Series 65. The study materials and whole program you have constructed are excellent. I read the phone-book sized reading materials and took many practice exams on the website. Just this morning I sat for the test and passed. Hooray!! I am convinced that your test preparation process made the exam seem easy. So I will recommend to anyone preparing for a securities exam to definitely consider getting your program. Thanks again for your outstanding program and guidance."

Rick Hinchberger Dover Advisors LLC

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI

Thank you so much Solomon Exam Prep. I took the SIE exam today and passed it the first try. Couldn't have done it without your help. Thank you again.

Cathy Villano, Eastchester, NY

I passed the Series 26 today with a score of 82%. Your exam simulator helped tremendously.

Ray Pecharich, Primerica, Sarasota, Florida

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT