Series 14: 2.7.2. Reporting System For Listed Securities Traded Over The Counter

Taken from our Series 14 Online Guide

2.7.2. Reporting System for Listed Securities Traded Over the Counter

Exchange-listed securities that trade over the counter may be displayed and reported on FINRA’s Alternative Display Facility (ADF). The ADF is a display-only facility that allows market makers and ECNs to display their quotes, best bid and offer, and trade reports on NASDAQ. All member firms that participate in the ADF are provided with the ability to

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.7.2. Reporting System For Listed Securities Traded Over The Counter, you might also be interested in:

Series 7 - 2.10.4. Eurobonds and Eurodollar Bonds

Series 79 - A1.1.3. Requirements for Effective Financial Markets

Series 53 - Telemarketing Rules

Series 14 - 5.1.1. Office of Supervisory Jurisdiction

Series 65 - 3.7.4.3 Purchasing Annuities

Series 51 - Control Relationships Must Be Acknowledged (MSRB Rule G-22)

Series 65 - Technical Analysis

Series 52 - 4.1. Characteristics of the Secondary Market

Series 53 - 5.5.5.1. Early Redemption of Municipal Bonds

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 wanted to add my testimonial to the long list of successful test-takers. Passed my Series 65 today on the first try! The materials were well written and made the concepts easier to understand (especially to someone with no background in finance like myself). I was a big fan of the audio format as I have a long drive back and forth to work (other test prep providers did not have this option). The test simulators were also a huge help. Thanks to the folks at Solomon Prep!

Ralph Marshall, High Speed Alliance, Wilmington DE

I had previously used a competitors material while preparing for the Series 52 exam. Using that material I failed the exam twice and both times I felt unprepared even after studying a ton. I switched to Solomon after reading reviews that seemed to be similar to my scenario. I finally passed!! Solomon's material did a great job of simplifying really complex material. The practice exams were very similar to the real exam. While taking the exam for the third time after studying with Solomon I felt confident the entire exam because I knew the information and had seen questions formatted similar while taking practice exams. Thanks Solomon!!!

Sara Brady McGinn FIRM: Raymond James Memphis, TN

I passed the series 22! Solomon's study materials and exams were the key to my preparation. I tried other companies first, and I knew something was off. After taking the FINRA exam, I know I would have failed if not for Solomon. I cannot overstate this. This test was difficult and foreign. Solomon helped me learn everything I needed to pass the series 22. Many thanks!

Jim Scott, AGES . Ocala, FL

I passed my series 6 exam due to the Solomon Exam Prep online material and practice exams. Thank you Jeremy Solomon for personally calling and emailing me some tips/advice!

Kevin Lafleur, WoodmenLife, Ville Platte, LA, Series 6

I passed my Series 99 exam in a very short period of time and this wouldn’t be possible without the incredible material from Solomon Exam Prep. The preparation material is very comprehensive and always updated with recent changes in FINRA rules/industry practice. I scored 92%!!

Venu Rathi, The Carlyle Group, New York, NY