Series 14: 5.1.4. Supervisory System

Taken from our Series 14 Online Guide

5.1.4. Supervisory System

A supervisory system is a defined structure that specifies how, where, and by whom a member firm’s oversight responsibilities for the activities of its employees are carried out. FINRA requires that member firms set up a supervisory system that will:

•Define which member offices are designated as Offices of Supervisory Jurisdiction

•Describe how the OSJs are to be managed

•Establish

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.4. Supervisory System, you might also be interested in:

Series 66 - The Beta Coefficient

Series 99 - 1.2.2.2 Joint Accounts

Series 24 - Delivery of a Prospectus

Series 65 - 3.6. Real Estate Investment Trusts (REITs)

SIE - Fixed Annuities

Series 24 - 3.5.8.3. 1035 Exchanges

Series 6 - 7.5.1. Disclosure Requirements for Broker-dealers and Associated Persons

Series 53 - Prepaid Tuition Plans

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 passed first try! Three hours and forty-five minutes might seem like a long time, but it flew by. The Solomon Exam Prep conditioned me very well. Utilizing the chapter quizzes and practice exams really helped apply my learning, and also helped with time management. (Series 7)

Ryan Thibault, PNC Investments. Lakewood, OH.

What a relief. I didn't get a chance to study that much, but your online sample questions were spot on and the reason why I passed [the Series 79].

Andrew Y., Pacific Palisades, CA

Used a different exam prep for my first 2 tries and failed miserably. Picked up the Solomon Series 6 full study package and passed my third attempt. The audio book and video lectures really made the difference. Thank you!

Rachel R, Ritter Insurance Agency, Huntington Beach, CA

Solomon Exam Prep material was great. Explained in a way that is easy to learn and follow. Test questions really help the material sink in. I had failed the Series 66 twice using another service. When it came time to find new material for the Series 65 and Series 63 Solomon was it. I passed both the 65 & 63 with flying colors and I have Solomon to thank for that.

Jeff Champigny, Merrill Lynch, Greensboro, NC

I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

Alyssia Simpson. Denver, CO.