Series 14: 2.8.4. Front Running

Taken from our Series 14 Online Guide

2.8.4. Front Running

Front running is when a member firm or a registered representative trades a security ahead of a customer trade (usually a block order of 10,000 shares or more) in the expectation that the customer trade will affect the price of the security. This is prohibited even if the registered representative has discretion over the client’s account, because this activity would put the

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.8.4. Front Running, you might also be interested in:

Series 24 - 2.2.1.6.1. Outside Business Activities

Series 22 - Best-Efforts Underwriting and Private Placements

Series 79 - 9.3.3. Greenshoe Options and Syndicate Covering Transactions

Series 66 - Limits on Employment or Association

Series 27 - Branch Office

Series 65 - 6.1.1.2.1 Taxation of U.S. Treasuries and Municipal 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 passed my exam on the 1st attempt!!! Solomon Prep was easy to read and with the help of the wonderful professors and owners, anything that needed clarification, they immediately responded. I would recommend Solomon to any college.

Renee Anderson

The Solomon Exam Prep materials for the Series 82 were great. I felt very well prepared for the exam. I only studied for one full week (probably about 40 hours) and completed the exam in 30 minutes and passed! Thrilled with the results.

Jessica Kates, Carnegie Growth Partners LLC. Philadelphia, PA

Passed that bad boy (Series 79) weeks ago with an 86, kicked its ass. I hate leaving that much room, means I wasted time. Thanks for everything.

Jeff S., Upper Nyack, NY

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA