Series 14: Exercise

Taken from our Series 14 Online Guide

Exercise

Answer true or false.

1.A firm’s system of supervisory controls can only be enforced by one designated principal of the firm.

2.A firm’s written supervisory controls must contain policies and procedures designed to monitor all transmittal of customers’ funds or securities to any location other than the customer’s personal primary residence.

3.XYZ Brokerage reports its annual certification of compliance on January 1 this year.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: Exercise, you might also be interested in:

Series 66 - 5.1.4 Corporate, Trust, and Estate Income Tax Fundamentals

Series 24 - Types of Equity Securities

Series 50 - Rate Consultant

Series 7 - 5.2.5 Volume and Open Interest

Series 66 - Registration of Securities

Series 65 - Future Value

Series 24 - Principals

Series 3 - 7.5.2.1. Cautionary Statement

Series 53 - Managing New Customer Accounts

Series 24 - Non-Cash Compensation

Series 24 - Withdrawal of Equity Capital

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 purchased Solomon Exam Prep to get a leg up on the S66 exam. I had taken it a few times already missing it by 1-2 points. A friend of mine enrolled on the test site and passed it on the first try. We did share notes while she was studying. It was then I realized Solomon has something the other test prep companies did not have, which helped me get over the hump. I will recommend it to anyone who really want to pass it the first time up!

Dany H. First Command Norfolk, VA

The Solomon Exam Prep helped me pass the Series 7. The material is precise to the questions in the exam. The people at Solomon provided great assistance and communication.

June Cusack, Philadelphia, PA

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

Thank you Solomon! I passed the Series 65 today on the 1st attempt. Same result as on the Series 63 I passed last year. The Solomon video lectures and exam simulator was awesome. It not only helped pass the test but helped me really understand all the material.

Gary Kilanowski. Scottsdale, AZ

I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA