Series 14: 3.2.2.2. Alternative: Schedule 13G

Taken from our Series 14 Online Guide

3.2.2.2. Alternative: Schedule 13G

Certain institutional investors, such as investment companies, banks, insurance companies, broker-dealers, and investment advisers, are eligible to use the shorter Schedule 13G instead of Schedule 13D, provided both of t

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.2.2.2. Alternative: Schedule 13G, you might also be interested in:

Series 24 - Member Supervisory Procedures and Controls

Series 66 - 9.4.15 Indirect Violations

Series 82 - Research Reports of Broker-Dealers Participating in an Issuer’s Distribution

Series 65 - Income Bonds

Series 50 - Unfair Practice in Municipal Securities

Series 66 - Right to a Residual Claim During Liquidation

Series 24 - Fair Prices and Commissions

Series 66 - Combined Positions in Margin Accounts

SIE - Bond Ratings

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 was using a different study program and failed my exam. Once I enrolled in Solomon’s program I not only passed, but improved by over 20%. The practice exams were very close to the language on the FINRA exams.

Ryan P., Frederick, MD

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.

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

I used Solomon to prep for my Series 65 exam. I was extremely impressed with how prepared I was for the actual exam! After reviewing the chapter material and taking 7-10 quizzes for each chapter, I was scoring around a 75 average on the practice exams, I wasn't sure that would be enough to pass. However, on exam day I felt extremely confident with the material, and I passed the 65 on my first attempt with about 45 minutes to spare. Extremely satisfied with how Solomon teaches the material to truly make it stick, and also with the progress statistics that they show you, so you know what to work on. I would 100% recommend it to anyone trying to pass their Series exams!

Landry Mead, Goldman Sachs Ayco Personal Financial Management. Dallas, TX

I passed the Series 82 with the help of Solomon and I am more than happy to put myself in their hands to help me pass 24 and 79 still ahead of me. The materials were excellent and the staff was very responsive and helpful. Highest recommendation!

David Barrosse, Managing Partner, Capstone LLC