Series 14: 5.1. Member Supervisory Procedures And Controls

Taken from our Series 14 Online Guide

5.1. Member Supervisory Procedures and Controls

FINRA Rule 3110 outlines in detail a procedural framework by which a supervisor’s responsibilities will be known and procedures set in place for their execut

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1. Member Supervisory Procedures And Controls, you might also be interested in:

Series 65 - 3.1.2.2. Balanced Funds

Series 66 - Market Value vs. Book Value of an Equity Security

Series 7 - 2.11.1 Callable Bonds

Series 24 - Two-dollar Brokers

Series 52 - 7.2.1. Important Leading Indicators

Series 28 - Other Subsidiary Ledgers

Series 27 - Form BR

Series 24 - 3.11.6. Communications To Be Filed with FINRA

Series 51 - Transfer Execution

Series 65 - 3.8.3.7. Waiver of Premium

Series 52 - 7.2.3. Important Lagging Indicators

Series 54 - Municipal Advisors and Associated Persons Must be Qualified

Series 27 - Securities Differences

Series 82 - Exercise

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 was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

I passed my exam on the 1st attempt!!! Solomon Prep was easy to read and with the help of the wonderful professors and owners, anything that needed clarification, they immediately responded. I would recommend Solomon to any college.

Renee Anderson

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

I actually initially failed the Series 52 and was left frustrated with the previous exam prep course that I previously took. I took a look at many of your testimonials and thought I would take a chance on Solomon. I was not disappointed. I passed the Series 52 on the second go, and the test was a breeze due to the preparation of your Series 52 exam prep. I couldn't be happier with Solomon. Onward and upward!

Akio Ohtake-Gordon, Piper Sandler & Co. Lakewood, CO.

I passed. Your Series 99 exam prep class was spot-on. Thanks!

Kathy Stanfield, P.J. Robb Variable Corp., Memphis, TN