Series 14: Chapter 2

Taken from our Series 14 Online Guide

Chapter 2

Market Operations

Most of this chapter will be devoted to the components, general rules, and requirements of the auction and negotiated exchanges and over-the-counter markets.

Before launching into the specifics of secondary market activities, let’s get familiar with the market itself and its players.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: Chapter 2, you might also be interested in:

Series 6 - 6.2.5. Bonus Annuities

Series 63 - Investment Advisers Act of 1940

Series 50 - Commercial Paper

Series 27 - Report Preparation and Internal Controls

Series 65 - Equipment Trust Certificates (ETCs)

Series 14 - 1.6.1. Ginnie Mae

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 took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH

Excellent exam preparation! Passed on my 1st attempt! SIE EXAM DO LOTS OF PRACTICE EXAMS, AND FLASHCARDS. I found the real exam question easier than the Solomon's ones. Thank you!

Gil Malamut, Prudential. New York, NY

I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon Exam preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam.

Cachet Johnson, PNC, Cleveland, OH