Series 14: 8.3.1.2. Trading Authority

Taken from our Series 14 Online Guide

8.3.1.2. Trading Authority

The owner of an individual account can give permission to another individual to trade in his account. This is called trading authority, and it may be given to any authorized third party. Trading authority gives the third party authority to buy and sell securities or make inquiries concerning the owner’s account. Trading authority actions must align with the investor’s stated goals. An investor authorizes the

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 8.3.1.2. Trading Authority, you might also be interested in:

Series 66 - Order Sizes

Series 65 - Excessive Trading (Churning)

Series 79 - Facilitating the Closing

Series 50 - Short- and Long-Term Capital Gains

Series 3 - 6.1.6.1.1. Fiscal Policy Defined

Series 22 - Customer Identification Program (CIP)

Series 6 - 4.1.4. Rights

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 really liked the Solomon study materials. They did a really nice job of explaining the material in plain language. I have a really long commute and the audio books came in really handy!! I would recommend the Solomon study materials!

Jessie Urban, Securities America Inc, LaVista, NE

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

I took my Series 24 on July 28 and passed!! I had not passed 2 prior Series 24 exams and was down to my last attempt. A fellow principal on my team who had not passed his Series 24 his first time told me about the Solomon practice tests and how they helped him. It was such a big help for me passing exam as the questions were structured more like the real exam than any other practice tests I’ve taken. I have since gone to other employees at my firm for other tests, such as the Series 7, SIE among others and have told them about the Solomon test materials and some of them are now purchasing Solomon as well.

Thadius Beavers, Prospera Financial. Dallas, TX.

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY

Passed the Series 6 exam! The study material and practice exams are the best. If you're an Allstate agent needing the SIE & the Series 6, Solomon is the way to go!

Christopher McHugh, McHugh Insurance Group, Inc., Boca Raton, FL