Series 14: 2.7.2. Reporting System For Listed Securities Traded Over The Counter

Taken from our Series 14 Online Guide

2.7.2. Reporting System for Listed Securities Traded Over the Counter

Exchange-listed securities that trade over the counter may be displayed and reported on FINRA’s Alternative Display Facility (ADF). The ADF is a display-only facility that allows market makers and ECNs to display their quotes, best bid and offer, and trade reports on NASDAQ. All member firms that participate in the ADF are provided with the ability to

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.7.2. Reporting System For Listed Securities Traded Over The Counter, you might also be interested in:

Series 82 - Calculating Capital Gains and Losses

Series 24 - Broker-dealer Registration

Series 79 - Retaliation Against Research Analysts Prohibited

Series 66 - 4.2.4 Current Financial Status

Series 65 - Yield

Series 65 - Discretion

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 took my Series 24 on July 28 and passed!! I had not passed 2 prior Series 24 exams and was down to my last attempt. A fellow principal on my team who had not passed his Series 24 his first time told me about the Solomon practice tests and how they helped him. It was such a big help for me passing exam as the questions were structured more like the real exam than any other practice tests I’ve taken. I have since gone to other employees at my firm for other tests, such as the Series 7, SIE among others and have told them about the Solomon test materials and some of them are now purchasing Solomon as well.

Thadius Beavers, Prospera Financial. Dallas, TX.

Just finished the Series 82 in just over an hour. Got an 86%. Your preparation and support was instrumental!! Thanks SO MUCH!!!

Ariel Shlien, Montreal, Canada

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA

The Solomon Prep really works! If you follow the guidance, and take it step by step, success follows!

Eric Altmann, ABN AMRO

Solomon's study materials and practice exam helped prepare me quickly and made me confident going into the SIE exam. I'm happy to have used their services and highly recommend their products for the SIE exam.

Kevin Ramani. Boston, MA