Series 14: 5.2.7.4. Solicitation Of Municipal Securities Business

Taken from our Series 14 Online Guide

5.2.7.4. Solicitation of Municipal Securities Business

While Rule G-37 addressed the issue of investment bankers trying to influence elected officials through political contributions, it led to the increased use of politically connected consultants to solicit business for underwriters. The MSRB addressed this problem by adopting Rule G-38. This rule sa

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.7.4. Solicitation Of Municipal Securities Business, you might also be interested in:

Series 24 - 2.2.2.8. Holding Customer Mail

Series 24 - ACT Reporting Requirements

Series 79 - “Written Communication” Defined

Series 53 - Depository Eligibility Registration: Issuers

Series 53 - 1.1.5. Amendments to Exchange Act Section 15

Series 66 - 2.4.19. Municipal Bonds

Series 7 - 9.4.1.1. The Income Statement

Series 65 - Features of Annuities

Series 63 - Exercise

Series 24 - Hart-Scott-Rodino Antitrust (HSR) Act

Series 7 - 18.4.2. Dispute Resolution Procedures

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 passed the 79 and 63 - both on the first attempt - thanks to Solomon Exam Prep. The quiz/simulator questions were very similar to the actual exam. Additionally, I was impressed by how quickly I received responses when I used the "Ask the Professor" feature.

Alexander W, IL

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

I thought the Series 79 materials were top notch. The Solomon practice exams were pretty spot on to what I encountered when I took the exam. Your course was key to my passing the exam on the first try. Thank you and money well spent.

Jeffrey Bartlett RSA Capital, Mequon, Wisconsin

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