Series 14: 5.2.3. Managing Conduct With The Public

Taken from our Series 14 Online Guide

5.2.3. Managing Conduct with the Public

FINRA strictly prohibits broker-dealers and their associated persons from engaging in specific activities with regard to customer accounts. The Series 14 might test you on the rules and regulations associated with some of these activities.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.3. Managing Conduct With The Public, you might also be interested in:

Series 14 - 1.5.4. Municipal Securities Rulemaking Board (MSRB)

Series 27 - Authority to Increase Capital Requirements

Series 7 - 18.3.1. Becoming a Registered Member Firm

Series 79 - Net Present Value

Series 6 - 3.1. ERISA Requirements

Series 52 - Rule G-27—Supervisory Procedures

Series 82 - 2.2.1.5. Communications that Include a Recommendation

Series 53 - Loan Consent Agreement

Series 65 - 7.3.12. R-Squared

Series 51 - Review and Approval by a Principal

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 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.

Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.

Tom L., Atlanta, GA

Just passed the Series 7 on the first attempt! Many questions on the FINRA exam forced me to consider scenarios from a different perspective, and the conceptual understanding the Solomon materials and study plan facilitated allowed me to apply my knowledge appropriately. If I need another license in the future, I'll rely on Solomon to help me prepare.

Dave Stakland Cambridge Investment Research Fairfield, IA

I utilized a competitor's product and failed the first time I took the Series 53. It wasn't from the lack of studying. After researching what other courses to buy, I luckily found Solomon. The exam material was up to date and the practice exams were much more challenging than the other program. I would highly recommend Solomon and plan on utilizing them if I should have to take another exam. Thank you.

Andrew Shubert, Craft Capital Management, Garden City, NY

I passed the series 22! Solomon's study materials and exams were the key to my preparation. I tried other companies first, and I knew something was off. After taking the FINRA exam, I know I would have failed if not for Solomon. I cannot overstate this. This test was difficult and foreign. Solomon helped me learn everything I needed to pass the series 22. Many thanks!

Jim Scott, AGES . Ocala, FL