Series 14: 5.1. Member Supervisory Procedures And Controls

Taken from our Series 14 Online Guide

5.1. Member Supervisory Procedures and Controls

FINRA Rule 3110 outlines in detail a procedural framework by which a supervisor’s responsibilities will be known and procedures set in place for their execut

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1. Member Supervisory Procedures And Controls, you might also be interested in:

Series 3 - 6.2.3.1.1. Head and Shoulders Reversal—Top and Bottom

Series 50 - Exercise

Series 26 - Simplified Arbitration

Series 26 - Other Liabilities

Series 79 - Determining the Buyer’s Strategy

Series 27 - FINRA Adjudicatory Rules

Series 7 - 9.4.2 Technical Analysis

Series 63 - 3.1.4 Exemptions to Issuer and Security Registration

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 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

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

Passed the 24 today ... fun test.. You have a great product. The material was easy to follow and the practice tests were very, very helpful. Thank you.

Danny Klingler, Kestra Financial, Austin, Texas

Thank you guys for the outstanding prep materials. I took the Series 79 and 63 in the same week and passed both the first time with great scores. I could not have been better prepared. Your exam simulator is especially awesome! Nothing on either exam surprised after.

Richard Walters, Virginia Beach, VA

I passed the Series 65 exam on my first attempt. Your practice exams really helped. Thanks again.

Colin Tucker, Little Rock, AR