Series 14: 2.9.9. Short-Swing Profits Must Be Returned To The Company

Taken from our Series 14 Online Guide

2.9.9. Short-Swing Profits Must Be Returned to the Company

If insiders make profits on control securities that they held for less than six months, they must return these profits to the company. The profits will also be taxed as short-term capital gains. These kinds of profits are called short-swing profits.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.9.9. Short-Swing Profits Must Be Returned To The Company, you might also be interested in:

Series 24 - Chapter 1 Practice Questions

Series 65 - 8.7.2. Net Capital Requirements

Series 79 - 3.5.9. Present Value, Future Value, and Discount Rate

Series 52 - 9.2.2. Customer Trade Confirmations

Series 66 - 6.1.1.1. Consolidated Tape

Series 66 - Partners, Directors, and Managers of Broker-Dealers

Series 66 - 9.4.14 Duty of Best Execution

Series 24 - Prime Brokerage Accounts

Series 24 - FINRA Adjudicatory and Dispute Resolution Rules

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

Finally! Having used the study material provided by my firm, I couldn't get over the passing level. Came out of pocket for Solomon, and passed [the Series 24] on the first effort - Thank you!

Scott Krogmann, Regions Bank, Knoxville, TN

The materials for the SIE were very well organized and presented. The study guide is comprehensive and easy to understand. Beyond that what I found the most valuable were the practice exams particularly the detailed explanations after each set of answers. There are so many hidden gems in there be sure to scroll down so as not to miss that information. We done Solomon Prep!

Matthew Gould, GreyMan Management . Scottsdale, AZ.

Thank you for the flexibility and the study material for 63, I ended up with an 87 thanks to your materials! Thank you Solomon!

Allen Ruffles

I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY

I passed the S7 TO first time it was introduced from last year. I have used several books and none of them could be as complete as this one. I am a living witness to the completeness of your course material. If that was not the case, I would not have passed this very difficult exam. I owe my success to your exam materials and no other book, from those I know have come close. I am going to study for the Series 66 through Solomon Exam Prep. If this can help me through, then I am sure many more people would also succeed.

Stalin Miki, Bankerslife, Miami, FL