Series 14: 7.2.1.7. Mandatory Inspection Of A New Broker-Dealer

Taken from our Series 14 Online Guide

7.2.1.7. Mandatory Inspection of a New Broker-Dealer

The SEC mandates that within six months of the date that a new firm registers, FINRA or a different SRO must conduct an inspection of the firm to determine whether it is complying with conduct rules. This inspection can be delayed for no longer than six months after its initially scheduled date.

SEC Rule 15b2-2

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 7.2.1.7. Mandatory Inspection Of A New Broker-Dealer, you might also be interested in:

Series 7 - 5.1.6.3 Intrinsic Value and Time Value

Series 65 - Stock Appreciation Rights

Series 7 - 3.6.20. Rule G-20—Limitations on Gifts, Gratuities, and Non-Cash Compensation

Series 63 - Other Penalties and Liabilities

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

Great preparation for a first-time-go on my SIE exam! Used the audio book for my commutes, and the presentation was good addition to back up the book. I leveraged the exam simulator which was priceless in making me feel like I was prepared for the exam. And, once I got into the test, I was prepared enough that I wondered if the real exam was going to get more difficult at the end...? I felt confident and well-prepared. Will be ordering the top-off shortly! Thanks for a great product and outstanding support!

Jeff Hughes, Cambridge Investment Research. Fairfield, IA

I got my undergrad degree in musical theater, never having studied or practiced anything regarding securities. I've been working as an actor over the last 10 years, and figured the Covid-19 quarantine presented an opportunity to learn something new. Solomon took me from knowing NOTHING about securities to passing the SIE on the FIRST TRY! I finished in under an hour and felt extremely confident about the entire test. I read every chapter twice, watched all the video tutorials, listened to the audiobook while driving, and took a large amount of practice exams. Do this - and you will be over prepared - I promise. I will absolutely be using Solomon again for any top-off exams!

Corey Cott, Philadelphia, PA

The support behind Solomon Exam Prep is like no other. I lean heavily on a few people there and they always come through for me every time! Passed my 6 last Friday. Heading into my 63. I highly recommend Solomon Exam Prep!

Andee McNabb, Allstate, North Plains, OR

Your study material laid a great foundation in my understanding of the tested material and was instrumental in my passing the Series 50.

Steven Scharff, Springsted Incorporated, Saint Paul, MN

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!