Series 14: 7.2.4.6.1. Continued Association With A Person Subject To A Statutory Disqualification

Taken from our Series 14 Online Guide

7.2.4.6.1. Continued Association with a Person Subject to a Statutory Disqualification

If a firm wishes to employ or continue its association with a person who is subject to statutory disqualification, it must file an application for continued association with FINRA’s Member Regulation Department. The depar

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 7.2.4.6.1. Continued Association With A Person Subject To A Statutory Disqualification, you might also be interested in:

Series 28 - Borrowing from and Lending to Customers

Series 3 - 2.2. Interest Rate Futures

Series 79 - Chapter 1 Practice Question Answers

Series 66 - Bond Funds

Series 24 - 2.1.2. Branch Office

Series 7 - 9.2. Tools of Government Policy

Series 24 - Over-Allotted Issues: Green Shoe Option

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 so happy to say that took my Series 65 Exam and passed on my first attempt! All thanks must go to Solomon Exam Prep and its materials. I read the Study Guide cover to cover 3 times, took notes and took what felt like endless practice quizzes, but I must say that I found the practice questions more difficult than the actual exam! I cannot recommend Solomon Exam Prep enough!

Kevin Blanchard, Meche and Associates. Breaux Bridge, LA

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

I passed the Series 6 (on my first attempt) with help from Solomon Exam Prep. The audio study book and online exams were the most beneficial tools for me, and would highly recommend Solomon to all of my Allstate colleagues.

Shy Singleton, Allstate, Jacksonville, Florida

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

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC