Series 14: Chapter 1

Taken from our Series 14 Online Guide

Chapter 1

Regulatory Agencies and Their Jurisdictions

Prior to the Great Depression, people who invested in securities often did so with little knowledge of the market. This wasn’t because investors didn’t want more information. It was because securities markets were largely unregulated, and p

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: Chapter 1, you might also be interested in:

Series 27 - SIPC Assessment Amounts

Series 65 - 4.5.5.1 Direct Participation Programs (DPPs)

Series 66 - 4.3.2.4. Behavioral Finance

Series 65 - Contributions and Withdrawals

Series 63 - Chapter 3 Answers and Explanations

Series 65 - 9.2.1.1. Administrator’s Ability to Coordinate with Other Regulatory Authorities

Series 50 - Type of Issuance and Source of Funds

Series 65 - Bond Certificates

Series 65 - Warrants

Series 66 - Tax Basis of Gifted Securities

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 just passed the Series 63 and Series 6. I only have Solomon staff and exam prep material to thank. This has been a very challenging experience. Please do yourself a favor and buy Solomon Exam Prep materials. It's made me a believer and you will not regret it!

Dwight Lee, FFS, Los Angeles, CA, Series 6 and 63

Thanks! I just passed my series 26 exam! Your material really helped!

Kevin Chambers

Passed 66 on the first try with flying colors. Solomon materials and advice was spot on. Follow it!

Craig Brand, Capital Financial Services, Nevis, MN

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I felt well prepared. Exam experience went well. The exam prep content was spot on! I had studied previously under a different exam prep course and felt the content was not doing the trick. I was not prepared and needed to rethink my study approach. Luckily after taking the Solomon course I felt completely different and very prepared! The dashboard, lectures and specific detail to the areas where I needed improvement helped me pass the test! I felt so confident thanks to the preparation process and content Solomon provided. Thank you!! It was a great experience preparing with Solomon!

Brady Johnson, Herbert J. Sims & Co., Inc., Fairfield, CT