Series 14: 2.8.4.1. Regulation SHO

Taken from our Series 14 Online Guide

2.8.4.1. Regulation SHO

Regulation SHO was enacted in 2005 to address the potential abuses of naked short selling. Naked short selling is where a short seller does not borrow or arrange to borrow the securities in advance of selling them. When sellers do not deliver the sold securities to buyers within the two-day settlement period, it is called a “failure to deliver.” When many sellers choose to naked short sell, the result

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.8.4.1. Regulation SHO, you might also be interested in:

Series 99 - 3.2 Internal Control of Material, Nonpublic Information

Series 50 - Type of Issuance and Source of Funds

Series 7 - 14.4.2.1 Options Accounts

Series 24 - Annuities

Series 26 - Changes in Account Name or Designation

SIE - Adjustments to Open Quotes on the Ex-date

Series 65 - 1.4.1.5.4. Debt to Equity

Series 27 - Business Restriction

Series 14 - 7.3.1.2. Other Principals

Series 26 - Variable Annuity Regulations

Series 24 - Form U4

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 finally passed the Series 65! I’m writing today to send you a very sincere Thank you for all the professional support and emotional guidance you have provided. I was emotionally beat up and almost ready to give in on my endeavor of passing the Series 65 and becoming an Investment Advisor Firm. After becoming unemployed and having a tremendous time focusing on the study material, you provided additional months and material access for no additional Fee! You also mentioned I should be able to teach the material and then I’ll be ready for the exam. By the gracious caring and professional sharing of your wisdom, it provided me to find my path to passing the Series 65! The three items that really helped was to Study like I’m going to teach it, memorizing and learn by over studying, and getting plenty of sleep and rest. Thank you to you, your family, and pro team for all you have done. I am very blessed and humbled to have met you all in this challenging time of my life. Happy Holidays, and Have a Safe and Happy New Year!

Michael Jones. Kansas City, MO

Taking the Series 24 class with Karen Solomon this week helped reinforce the data that I learned, and I passed my exam! The material was thorough and the exam simulator was an excellent tool to test your knowledge. Thank you Karen!

Karen Lessard, Concorde Investment Service Frisco, TX

Rachna Shah, CBRE. Beverly Hills, CA

The Solomon practice quizzes and exams provided an excellent simulation for the Series 7 exam. I highly recommend. Passed on the first try!

Justin Wiles, GW & Wade, Palo Alto, CA

Solomon has a dedicated team of professionals who prepare the written materials, present video summaries and provide practice exams in 4 different formats and are available anytime to answer questions and clarify materials. Thanks to a robust study program I felt fully prepared and confident to write the Series 82 exam and achieved a score of 87%. Thank you Solomon Exam Prep.

Karen Powell, Wren Capital LLC, NY, NY