Series 14: 2.7.4.1. Buy-Ins

Taken from our Series 14 Online Guide

2.7.4.1. Buy-Ins

When a seller does not deliver the securities by T + 2, this is called a fail-to-deliver. A close-out performed by a buyer because of a fail-to-deliver is called a buy-in. The first step is notifying the seller. On the morning of the next business day (T + 3), the buyer sends the seller a written or electronic notice that it

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.7.4.1. Buy-Ins, you might also be interested in:

Series 24 - Selling Dividends

Series 51 - Confirmation of Transactions

Series 24 - Options

Series 65 - 5.2.2.4. Disability

Series 52 - Rule G-38—Solicitation of Municipal Securities Business

Series 66 - Calls

Series 14 - 7.3.2.2. Investment Adviser Representatives

Series 51 - Exercise

Series 63 - 3.1.2.1 The Registration Statement

Series 24 - Fourth Market

Series 51 - Chapter 3 Practice Questions

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'd utilized a competitor last year while attempting to retrieve my Series 7 license. I attempted three times using their material but resulted in failure. After using Solomon I passed my SIE with no issue and decided to use Solomon again because I believed they provided the essential material to help you achieve. After using Solomon once again, I passed my Series 7 on the first try. I will be using them again to tame the beast they call the 24.

Zach Sloan, Cambridge Investment Research, Fairfield, IA

I just took the Series 24 and passed with an 80%. I couldn't have done it without the Solomon test simulator.

Joseph Shapiro, Edward Jones Investments, St. Louis, MO

I came into my studies with very little experience. With the amazing help and support from the Solomon Team I passed the SIE on my first attempt. I am extremely grateful for the study material that Solomon has provided. I am onto the 7 TO.

Wc Harbert, RBC. Eugene, OR

Finally! Having used the study material provided by my firm, I couldn't get over the passing level. Came out of pocket for Solomon, and passed [the Series 24] on the first effort - Thank you!

Scott Krogmann, Regions Bank, Knoxville, TN

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN