Series 14: 5.1.4. Supervisory System

Taken from our Series 14 Online Guide

5.1.4. Supervisory System

A supervisory system is a defined structure that specifies how, where, and by whom a member firm’s oversight responsibilities for the activities of its employees are carried out. FINRA requires that member firms set up a supervisory system that will:

•Define which member offices are designated as Offices of Supervisory Jurisdiction

•Describe how the OSJs are to be managed

•Establish

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.4. Supervisory System, you might also be interested in:

Series 65 - 1.4.2.2.1. Bearish Patterns

Series 26 - Function Two

Series 7 - Exercise

Series 24 - Customer Delivery/Payment

Series 66 - 9.1.4. Performance Guarantees

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 thought you might appreciate knowing that I passed the test with a 90 today. Thanks again for all the help and good quality material that your company has. I am very glad to have used your materials and will certainly refer others to Solomon Exam Prep. (Series 6 & 63)

Matthew Baird, Gloversville, NY

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, 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 used Solomon Exam Prep for both the Series 7 and 63. Everyone learns differently, and they have resources for every type of learner. Their practice exams and quizzes push you to be prepared for the most difficult questions, enabling you to be over-prepared (better than the alternative!) for your exam. I received a 93% on the Series 7 and wish the regulators provided a score for the Series 63, but needless to say I passed. If I ever need to take a regulatory exam again, I will look to these guys first.

Suraj P, New York, NY

I passed the Series 82 with the help of Solomon and I am more than happy to put myself in their hands to help me pass 24 and 79 still ahead of me. The materials were excellent and the staff was very responsive and helpful. Highest recommendation!

David Barrosse, Managing Partner, Capstone LLC