Series 14: 1.5. Key Regulatory Bodies

Taken from our Series 14 Online Guide

1.5. Key Regulatory Bodies

The Securities and Exchange Commission (SEC) has primary responsibility for interpreting and enforcing federal securities laws. Compliance with federal law and the SEC’s rules and regulations was left to the securities organizations themselves, with SEC oversight. The securities exchanges, or self-regulatory organizations (SROs), devised their own set of rules within SEC constraints and monitored them for compliance. The SROs are charged wit

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 1.5. Key Regulatory Bodies, you might also be interested in:

Series 14 - 3.3.1. Market on Close Order Entry Requirements

Series 14 - 9.1.10. Public Appearances

Series 63 - Suitability

Series 7 - 17.6.4.3 Net Basis Transactions

Series 79 - Derivatives

Series 54 - Chapter Three

Series 54 - No Bundling

Series 24 - 5.7.1.3. Risk Management Function

Series 52 - 8.4.3. SIPC Rules

Series 79 - 4.2. Comparable Companies Analysis

Series 7 - 2.14.2.1. Estimating Prepayment Risk

Series 63 - 3.3 Remedies and Administrative Provisions

Series 14 - 2.3. Transacting Business on an Exchange

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 began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO

Passed 53, Thanks for your help and study materials, study guide and exam simulators were excellent on test preparation for the Series 53. When one applies the time with your materials, a positive outcome can be achieved . Thanks too for answering my question/questions over the weekend.

Tim Milani, Barrington, IL

Passed the SIE on my first attempt! Read the Kaplan study book and didn’t feel prepared enough to pass the exam. Stumbled upon Solomon exam prep and am so thankful I did. The exam simulator with the detailed answers did so much more to help me prepare. Went into the exam confident and passed. I’ll be back for the Series 7!

John N, Indianapolis IN

I passed the Series 24 on the first try with an 80%! This was the highest of all of my Series exam scores and I attribute much of my success to Solomon's amazing study materials. The practice exams are spot-on and the video lectures were a great supplement to the readings. I suggest following the study schedule Solomon provides for a successful outcome!

Katelyn H, Las Vegas, NV

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