Series 14: 5.2.6.1. Prohibition On Guaranteeing Customers Against Loss

Taken from our Series 14 Online Guide

5.2.6.1. Prohibition on Guaranteeing Customers Against Loss

FINRA prohibits member firms and their associated persons from guaranteeing a customer against loss in connection with any securities transaction with his account in general. This includes offering to reimburse customers for losses.

FINRA Rule 2150(b)

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.6.1. Prohibition On Guaranteeing Customers Against Loss, you might also be interested in:

Series 6 - 5.1.7.2. Capital Gains on the Sale of Mutual Fund Shares

Series 65 - Warrants and Rights

Series 53 - 6.3.3.2. Six-Year Minimum Requirement

Series 66 - Securities Act of 1933

Series 63 - 3.1.4.1 Section 402(a) Exemptions

Series 6 - 5.1.6.1. Redemption Fees and Back-End Load Sales

Series 50 - Indirect Advice

Series 65 - Second Market (Over-the-Counter)

Series 24 - Block Trading

SIE - Free-Look Period

Series 24 - Answers

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'm incredibly grateful I chose Solomon Exam Prep to prepare me for the Series 79. The materials are very thorough and up-to-date, and the staff incredibly dedicated, knowledgeable and helpful - both of which are extremely necessary to pass this difficult exam. And, I passed! Thank you Solomon!

Krista Barbour, Boulder, CO

The Series 79 can be quite tricky, thankfully Solomon Exam Prep had practice test questions that were just as tricky. Solomon's Test Prep is definitely effective and is less expensive than other Test Prep companies.

Justin Jeangerard, Sundial Group, Ft. Lauderdale, FL

I studied for the Series 24 for two and a half months. I thank God for his grace passed on the first attempt. The exam simulator is superb, it's projection of readiness to sit for an exam is spot on. All the feedback I received on how difficult the test was proved to be very helpful. As a result I over studied and followed the recommended study plan step by step which was key. Thanks again Jeremy and team, Solomon exam prep is the best ;)

Nikita Brown, BMI. Atlanta, GA

I just passed the Series 50 exam! Yay! The Solomon Exam Prep materials are excellent. I utilized the guide book, on-line lecture, on-line course, on-line study guide and quizzes. The "Ask the Professor" feature was very helpful as well. I highly recommend their resources.

Lori Volz, Baker Tilly, Minneapolis, MN

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN