Series 14: Chapter 5

Taken from our Series 14 Online Guide

Chapter 5

General Supervision: FINRA and Other Self-Regulatory Organization Rules

Under the Securities Exchange Act of 1934, the SEC may take punitive action against any broker-dealer that has willfully violated securities law

Since you're reading about Series 14: Chapter 5, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 14
Please Enable Javascript
to view this content!