Series 14: 5.1.6.4.1. NYSE And FINRA’s Joint Regulatory Sales Practice Sweep Report

Taken from our Series 14 Online Guide

5.1.6.4.1. NYSE and FINRA’s Joint Regulatory Sales Practice Sweep Report

In 1996, the NYSE in conjunction with NASD (now FINRA) issued the Joint Regulatory Sales Practice Sweep Report. The report recommended that firms should follow several recommended practices when it comes to supervision of employees. These practices include:

• Adopting stringent procedures for hiring registered representatives

• Initiating heightened supervisory procedures for registered representatives with a history of customer complaints, disciplinary actions, or arbitrations

• Ensuring compliance with telemarketing requirements (these requirements are discussed in Chapter 9)

The repor

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.6.4.1. NYSE And FINRA’s Joint Regulatory Sales Practice Sweep Report, you might also be interested in:

Series 63 - Exercise

Series 24 - New Client Account Form

Series 79 - Debt-to-Capital Ratio

Series 66 - 9.1.6.2 Code of Ethics and Access Persons

SIE - No Interpositioning

Series 24 - 4.1.5. The Registration Process

Series 7 - 5.1.6.2. Opening and Closing Positions

Series 63 - Fees

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

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

I really liked the Solomon study materials. They did a really nice job of explaining the material in plain language. I have a really long commute and the audio books came in really handy!! I would recommend the Solomon study materials!

Jessie Urban, Securities America Inc, LaVista, NE

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

The Series 82 materials were extremely helpful to passing a difficult exam. Up-to-date materials with a mix of video and reading content, as well as helpful practice tests. The best material available for the Series 82 by far.

Anonymous, California