Series 14: 4.1.3. Net Capital Requirements For Different Types Of Firms

Taken from our Series 14 Online Guide

4.1.3. Net Capital Requirements for Different Types of Firms

Member firms must maintain certain net capital requirements.

If a firm discovers that its net capital is less than 120% of its required minimum, it must notify FINRA and the principal and regional offices of the SEC within 24 hours of the discovery. This notifies the regulatory authority that the firm is getting close to hitting its minimum requirement so that they

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.3. Net Capital Requirements For Different Types Of Firms, you might also be interested in:

Series 65 - 2.13.3. Treasury Bills

Series 65 - Eurobonds and Eurodollar Bonds

Series 53 - Lifetime Requirement

Series 50 - Preservation of Books and Records (Exchange Act Sections 17a3 & 17a4)

Series 66 - 2.3.2 Subscription Rights

Series 7 - Exercise

Series 24 - Required Coverage

Series 7 - 5.1.3 Long Put

Series 54 - Preliminary Official Statement

Series 65 - Technical Analysis

Series 28 - Exercise

Series 24 - Required Coverage

Series 52 - 8.4.2.3.5. Handling Customer Complaints

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

Well, I am back! Solomon did it again. I passed the Series 6. All of Solomons materials throughly prepared me for the passing of the SIE and the Series 6. Whose materials will I use for the Series 63? I am glad you asked. I must say it will be Solomon Exam Prep. Thanks again, Solomon your study materials are the best!

Leanene Carriere. Houston, TX

I used your materials for the Series 79, Series 82, and the Series 63 and scored all in the mid-80% range. Thanks for your help and support!

Carlie Headapohl San Diego, CA

Great study materials. The program provided the information needed to successfully pass the Series 65. Thanks Solomon!

Bryan Acuto, Trust Advisory Group, Woburn, MA

I passed the Series 63 on the first try. You now have a loyal customer in me. Using Solomon is probably the closest exam success guarantee you could possibly get. Thanks, your exam prep was worth every penny. I would recommend your exam prep to anyone and if I ever have a take another Series exam. I will only be using Solomon exam prep.

Joseph Boswell, FFA. Riverview, FL

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH