Series 14: 4.1.8.3. Filing Requirements

Taken from our Series 14 Online Guide

4.1.8.3. Filing Requirements

The Securities Exchange Act requires firms to file two copies of any subordinated loan agreement with the SEC at least 10 days before the date of the loan.

FINRA requires firms to file regular subordination agreements at least 30 days prior to the date of the loan, but allows temporary agreements to be filed only 10 days prior to the effective date.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.8.3. Filing Requirements, you might also be interested in:

Series 54 - 3.1.7.1. Professional Fees for Associated Persons

Series 22 - 2.3.1. Tax Deductible Expenses

Series 66 - Odd Lot Theory

Series 66 - 5.2.3 Non-Qualified Retirement Plans

Series 66 - Exercise

Series 24 - Transactions Not to Be Reported for Publication Purposes

Series 26 - State Registration

Series 7 - Exercise

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

Just passed the Series 26! As a new mom, I relied heavily on the Audiobooks and being able to read or test on my iPad whenever I could. The material was accurate and I felt well-prepared after following the suggested study schedule.

Usha Sharma, Transamerica, West Covina, CA

Passed the SIE on my first attempt! Read the Kaplan study book and didn’t feel prepared enough to pass the exam. Stumbled upon Solomon exam prep and am so thankful I did. The exam simulator with the detailed answers did so much more to help me prepare. Went into the exam confident and passed. I’ll be back for the Series 7!

John N, Indianapolis IN

I successfully passed the test [Series 65] thanks to you guys!!!!

Chad Cook, Old West Investment Management, Los Angeles, CA

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA

Fantastic study materials. The practice test questions were close to the exam questions and I was not surprised when I took my exam. I would recommend Solomon to anyone studying for their 6.

Wendy Clark, MetLife, Charlotte, NC