Series 14: 7.3.5.9. Continued Association With A Person Subject To A Statutory Disqualification

Taken from our Series 14 Online Guide

7.3.5.9. Continued Association with a Person Subject to a Statutory Disqualification

As discussed in Chapter 5, a person can be statutorily disqualified due to a variety of events, such as a felony conviction, expulsion from FINRA, or making a false statement on Form U4. If a firm wishes to employ or continue its association with a person who is subject to statutory dis

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 7.3.5.9. Continued Association With A Person Subject To A Statutory Disqualification, you might also be interested in:

Series 7 - 17.6.3.1.1. Trading Pauses on a Security

Series 63 - Practical Application

Series 79 - Identifying Regulatory Issues

Series 7 - 12.8.1. Private Resales to Qualified Institutional Buyers

Series 52 - 2.7.3. Repurchase

Series 63 - 3.1.5.1. Exceptions for Media from Other States

Series 65 - Common Stock Shareholder Rights

Series 52 - 7.4.2.2. Discount Rate

Series 51 - Investment Objectives

Series 6 - 2.1.3.2. Privacy Disclosure Requirements

Series 66 - Chapter 7 Practice Questions

Series 82 - 1.1.2.5. Resales of Restricted and Control Securities—Rule 144

Series 51 - Chapter 5 Practice Questions

Series 65 - Currency Risk

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

Passed 66 on the first try with flying colors. Solomon materials and advice was spot on. Follow it!

Craig Brand, Capital Financial Services, Nevis, MN

I loved using Solomon Exam Prep. I used Solomon for 1 month and passed my Series 65 exam. I had previously used Kaplan and failed the same exam. I feel as if Solomon provided significantly better Exam prep and technology in a more concise manner than any other system I have used. Thank you for such a great service.

Mackenzie Abbate Knights of Columbus Slidell, Louisiana

I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH

Just passed the Series 24 on my first attempt. Not an easy exam so put the time in. I used the Video Lectures and the Exam Simulator from Solomon. Great resources of information!

Shawn McClain, Natixis, Charlotte NC

Thank You. Thank You. Thank You. Having the audio, video lectures (with the printable power-point!) and exam simulator in addition to the book really engages you in the material. It becomes a game! I passed the 66 with an 84%.

Colleen Shelly, PNC Investments, Cleveland, OH