Series 14: 4.1.3.3. Dealers

Taken from our Series 14 Online Guide

4.1.3.3. Dealers

Dealers are defined as firms that effect more than ten transactions in a calendar year for their own investment accounts or write over-the-counter (OTC) options. These firms are r

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.3.3. Dealers, you might also be interested in:

Series 7 - 12.5.1. Over-Allotted Issues: Greenshoe Option

Series 79 - 10.8. Integration

Series 26 - FINRA Member Office Designations

Series 66 - 2.4.15.2 Treasury Notes and Bonds

Series 24 - Rule 15g-1 – Exemptions for Certain Transactions

Series 14 - 8.2.1.3. Privacy Disclosure Requirements

Series 79 - A.5.4. Warrants

Series 63 - Reasons for Disciplining a Broker-Dealer

Series 26 - Accumulation and Payout Periods

SIE - Purchasing and Redeeming Mutual Fund Shares

Series 53 - Supervisory Control Procedures

Series 51 - Municipal CMOs

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 63 and Series 6. I only have Solomon staff and exam prep material to thank. This has been a very challenging experience. Please do yourself a favor and buy Solomon Exam Prep materials. It's made me a believer and you will not regret it!

Dwight Lee, FFS, Los Angeles, CA, Series 6 and 63

I'm not the best test taker. Solomon changed that. I was struggling on the quizzes and practice test. However, I passed the SIE on the first try. Took me less than one hour to complete. I felt very prepared.

Lamar Barnes, Washington D.C.

I studied for the Series 6 with the STC material and failed the exam. I then was provided with the Solomon material and passed! The Solomon material aligned very nicely with the actual exam which was very helpful. Also, Their customer service is out of this world! The President of the company even helped visa email and phone calls with study recommendations. I am now going to use their study material as I prepare for the Series 63. I LOVE Solomon! Thank you so much for your care, support and guidance. I have also recommended that our company use the Solomon material for all exams.

Valerie Nolan, Cetera, Forest Grove, OR

Well, I am back! Solomon did it again. I passed the Series 6. All of Solomons materials throughly prepared me for the passing of the SIE and the Series 6. Whose materials will I use for the Series 63? I am glad you asked. I must say it will be Solomon Exam Prep. Thanks again, Solomon your study materials are the best!

Leanene Carriere. Houston, TX

I had previously used a competitors material while preparing for the Series 52 exam. Using that material I failed the exam twice and both times I felt unprepared even after studying a ton. I switched to Solomon after reading reviews that seemed to be similar to my scenario. I finally passed!! Solomon's material did a great job of simplifying really complex material. The practice exams were very similar to the real exam. While taking the exam for the third time after studying with Solomon I felt confident the entire exam because I knew the information and had seen questions formatted similar while taking practice exams. Thanks Solomon!!!

Sara Brady McGinn FIRM: Raymond James Memphis, TN