Series 14: Chapter 3

Taken from our Series 14 Online Guide

Chapter 3

Broker-Dealer Operations

A compliance officer needs to have thorough knowledge of broker-dealer operations. That knowledge should enable her to:

Understand manual and computer systems used to capture and analyze market and trading information (for surveillance purposes)

Be able to assemble internal and external da

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Solomon Exam Prep Study Materials for the Series 14
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