Series 14: 2.4. Transacting Business On An Exchange

Taken from our Series 14 Online Guide

2.4. Transacting Business on an Exchange

A transaction usually starts at a brokerage office. An investor examines the market with his broker and places an order. The order is sent to the exchange either electronically or by telephone. At the NYSE today, most orders to buy or sell sto

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.4. Transacting Business On An Exchange, you might also be interested in:

Series 24 - Employee Retirement Income Security Act (ERISA)

Series 65 - Portfolio Benchmarks

Series 53 - Municipal Securities Representative (Series 52)

Series 24 - 3.4.3. Account Transfers

Series 52 - 6.1. Overview of the U.S. Income Tax System

Series 65 - 5.2.1.2. Current Income

Series 26 - Types of Mutual Funds

Series 63 - 3.1.7 Termination of a Securities Registration

Series 51 - Rule G-14—Reports of Sales or Purchases

Series 99 - Chapter One

Series 65 - 6.2.1.1 Fiduciary Responsibility

Series 7 - 12.7.3 Intrastate Exemptions: Rule 147

Series 6 - 5.1.7. Tax Implications for Mutual Funds

Series 24 - 4.2.3. Conflicts of Interest Disclosure with Public Offerings

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 studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN

Your study material laid a great foundation in my understanding of the tested material and was instrumental in my passing the Series 50.

Steven Scharff, Springsted Incorporated, Saint Paul, MN

Taking the Series 24 class with Karen Solomon this week helped reinforce the data that I learned, and I passed my exam! The material was thorough and the exam simulator was an excellent tool to test your knowledge. Thank you Karen!

Karen Lessard, Concorde Investment Service Frisco, TX