Series 14: 5.2.7.3.3. Automatic Exemptions

Taken from our Series 14 Online Guide

5.2.7.3.3. Automatic Exemptions

If a dealer or advisor discovers a political contribution by one of its MFPs or MAPs that triggers the ban, it may qualify for an automatic exemption. Automatic exemptions must meet three requirements:

• The firm discovered the political contribution within four months from the date of the co

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.7.3.3. Automatic Exemptions, you might also be interested in:

Series 7 - 12.1.5.1. Agreement Among Underwriters

Series 14 - 6.1.4.1. Selected Dealers Agreement (Selling Group Agreement)

Series 53 - Municipal Securities Dealer Associations

Series 50 - Nature of Issuer’s Debt

Series 3 - 6.3.4.4. Good Till Date (GTD)

Series 6 - 1.3. Communications with the Public

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

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH

Your Series 79 book was great and your practice questions were spot-on. I passed the first time. Thanks!

Stephen Hsu, Los Angeles, CA

I used Solomon Exam Prep for both the 6 and the 63 and passed both of them on the first try. For the Series 6 I scored a 92 and for the Series 63 I scored a 75. The book was very insightful and helped quite a bit with passing, so thank you to your company.

Austin Kurey, Denver, CO

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

I PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD