Series 14: 6.1.8.1.1. Documentation Of Procedures And Actions

Taken from our Series 14 Online Guide

6.1.8.1.1. Documentation of Procedures and Actions

“A firm’s Chinese Wall policies and procedures must be formalized, organized and incorporated with a firm’s procedural/policy manuals.” A haphazard collection of internal memos and sni

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 6.1.8.1.1. Documentation Of Procedures And Actions, you might also be interested in:

Series 7 - 3.2. Types of Municipal Securities

Series 79 - Regulatory Requirements

Series 52 - 6.2.2. Tax-Equivalent Yield

Series 65 - Investment Company Communications

Series 65 - Chapter Ten

Series 82 - Zero Coupon Bonds

Series 24 - Designated Market Makers (DMMs)

Series 50 - Blotters

Series 24 - Beneficial Ownership Report: Schedule 13D

Series 51 - Opening Customer Accounts

Series 66 - 8.1.10 Other Penalties and Liabilities

Series 26 - Individual Accounts

Series 63 - 3.3.1 Authority of the Administrator

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 love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

Passed the 52 and 53 within two months thanks to the clarity of Solomon's materials. Great product!

Jonathan Bowman, Raymond James. Ennice, NC

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL