Series 14: 8.3.10.1. Uncovered (Naked) Short Option Contracts

Taken from our Series 14 Online Guide

8.3.10.1. Uncovered (Naked) Short Option Contracts

Member firms that allow customers to write uncovered option contracts (e.g., naked calls) must develop and maintain written procedures specific to that product. These procedures should include specific criteria for evaluating whether short options are suitable for a customer. They must also include specific minimu

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 8.3.10.1. Uncovered (Naked) Short Option Contracts, you might also be interested in:

Series 52 - 7.3.3. Yield Curves

Series 63 - 3.3.3.2 Rescission

Series 65 - Gross Profit

Series 50 - Important Leading Indicators

SIE - Communications with the Public

Series 66 - More Tools of Fundamental Analysis: Financial Ratios

Series 65 - 6.2.2. Qualified Employer-Sponsored Plans

Series 3 - 7.3.5.2. Adjusted Net Capital

Series 65 -

Series 53 - Loan Consent Agreement

Series 24 - Going Short “Against the Box”

Series 24 - Outside Business Activities

Series 24 - Regulation M, Rule 105

Series 52 - 7.4.1. Money Supply and Monetary Aggregates

Series 79 - 1.2.3.1. Operating Activities

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 just passed the Series 6. The Solomon Audio/CD set was essential for me as I spend 1.5 hours per day in my car, so that became my study time! Thank you for providing an audio/cd version! I have just ordered the Series 65 set as well.

Ambia Peoples, North Florida Financial Corp, Jacksonville, FL

I used your materials for the Series 79, Series 82, and the Series 63 and scored all in the mid-80% range. Thanks for your help and support!

Carlie Headapohl San Diego, CA

I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent.

William Crull, Metairie, LA

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX

I just passed the 82 on my first attempt. The study guide and unlimited practice study exams are priceless. I took full practice exams until I was scoring in the 90's and I'm glad I did. The questions on the actual exam were more difficult than any of my practice exams but I was able to think through them and apparently answer enough questions correctly. I truly wouldn't have passed this exam without all of the practice exams Solomon offered.

Adam Drewry, Parsonex Securities. Denver, CO