Series 14: 5.1.4. Supervisory System

Taken from our Series 14 Online Guide

5.1.4. Supervisory System

A supervisory system is a defined structure that specifies how, where, and by whom a member firm’s oversight responsibilities for the activities of its employees are carried out. FINRA requires that member firms set up a supervisory system that will:

• Define which member offices are designated as Offices of Supervisory Jurisdiction

• Describe how the OSJs are to be managed

• Establi

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.4. Supervisory System, you might also be interested in:

Series 54 - 3.1.6. Associated Persons

Series 26 - Calculating a Firm’s Net Capital

Series 66 - Retirement

Series 63 - 3.4 Practical Application

Series 82 - 2.1.2. Types of Customer Accounts

Series 79 - 11.2.4. Identifying Regulatory Issues

Series 53 - CUSIPs for Refunding Bonds

Series 22 - 6.6.3. FINRA Code of Arbitration

Series 22 - 4.2.3. Delivery of Prospectus by Dealers

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

The Series 79 study materials were fantastic. Thank you!

Cecilia Shea, CPA, Palo Alto, CA

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

I followed the Solomon recipe for success and passed the Series 63 on my first attempt!!

Jaime Avery, John Hancock, Boston, MA

I passed the Series 7 on my first attempt. In fact, five years ago, I also passed both the Series 6 and 63 on my first attempt. In all cases, I used Solomon Exam Prep materials which make sometimes 'dry' topics much more readable. Also, having the option to take an unlimited number of practice tests and receive immediate, thorough feedback was invaluable. I highly recommend them!

Blaine Burnett

Passed the Series 6 exam! The study material and practice exams are the best. If you're an Allstate agent needing the SIE & the Series 6, Solomon is the way to go!

Christopher McHugh, McHugh Insurance Group, Inc., Boca Raton, FL