Series 14: 2.1.1. Auction Markets

Taken from our Series 14 Online Guide

2.1.1. Auction Markets

An auction market is one in which securities are traded on an exchange floor. An exchange has traditionally been a physical location where buyers and sellers get together to trade securities. This kind of market is referred to as an auction market because brokers gather around a trading post where a Designated Market Maker (formerly

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.1.1. Auction Markets, you might also be interested in:

Series 50 - Oversubscription: Order Priority

Series 79 - Additional Paid-In Capital

Series 79 - Delivery of Prospectus by Dealers (Rule 174)

Series 79 - The Life Cycle of a Public Offering (Section 5)

Series 53 - 4.2.4.8. Oversubscription: Order Priority

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 followed the Solomon recipe for success and passed the Series 63 on my first attempt!!

Jaime Avery, John Hancock, Boston, MA

Many thanks to the fine staff at Solomon Exam Prep. I'm happy to report that I passed the Series 50 Municipal Advisor exam on my first attempt. The written material is extremely thorough and comprehensive. With respect to the online quizzes and final exams, the questions are very comparable in difficulty to the actual exam, thus providing the foundation for success. A special word of thanks to Carson for his encouragement and support.

Tony Chiappetta, Sudsina & Associates, Mars, PA

I passed my Series 99 exam in a very short period of time and this wouldn’t be possible without the incredible material from Solomon Exam Prep. The preparation material is very comprehensive and always updated with recent changes in FINRA rules/industry practice. I scored 92%!!

Venu Rathi, The Carlyle Group, New York, NY

PASSED SIE ON MY FIRST TRY!! Initially started with a competitor but I was referred to study through Solomon instead. After comparing the two, I stuck to Solomon for 6 weeks straight. The material and practice q’s gave me a better understanding and helped me prepare for the actual exam. Thank you!!

Gelyn Rice, Allstate, Los Angeles CA

I only used the exam simulator and it was the best decision I made! I read a different textbook and used Solomon solely for test prep questions. I promise you the $70 or so this cost is 100% worth it. Every question that I got on my exam (May 2020) was related to all the questions asked in the Solomon exam simulator. If you are willing to put in the work and take all of the chapter quizzes and then take 5 each of the time/not timed exams you will pass. Another good thing is that you can download their app and take exams on your phone - I found this very useful when I didn't want to always be on my laptop all day.

Nick Sciortino, Barrington, NJ