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 79 - 10.4.3. The Private Placement Memorandum and Term Sheet

Series 66 - 3.7.4.5. Taxation of Life Insurance Products

Series 65 - Present Value

Series 3 - 6.1.6.2.4.1. Federal Open Market Committee

Series 66 - 2.4.11.2 Equipment Trust Certificates (ETCs)

Series 79 - Forms of Registration Statements

SIE - 8.2.7. Custodial Accounts

Series 65 - Estate and Gift Taxes (Transfer Taxes)

Series 14 - 7.2.4.5.4. Verification by Principal

Series 27 - Margin Securities

Series 65 - 7.2.1.2.1.5 First Trade in a Long Margin Account

Series 6 - 6.2.7. Receiving Payment

Series 24 - Second Market: The Negotiated Exchange Market

Series 65 - 5.1.3.1. Trust and Estate Accounts

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 thought you might appreciate knowing that I passed the test with a 90 today. Thanks again for all the help and good quality material that your company has. I am very glad to have used your materials and will certainly refer others to Solomon Exam Prep. (Series 6 & 63)

Matthew Baird, Gloversville, NY

Excellent! The Solomon curriculum prepared me well enough to make me feel comfortable during the actual exam. Practice questions and mock exams were challenging enough to test my knowledge but not too challenging to the point where I was discouraged.

Alex Syku. Easton, CT

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

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

Solomon Exam Prep prepared me well with a large variety of questions on the practice exams. I was able to pass my SIE on my first attempt, onto the Series 7!

Andrew Johnson, First State Investment Services. Worthington, MN