Series 14: Exercise

Taken from our Series 14 Online Guide

Exercise

Choose the best answer.

1. Jones Brothers, a broker-dealer, has just submitted its application to register with the SEC. How many days does the SEC have to respond?

2. Next, Jones Brothers applies to FINRA for membership. Once the application is submitted, how long does FINRA have to review the application for completeness?

3. FINRA reviews Jone

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: Exercise, you might also be interested in:

Series 66 - Definition of Investment Adviser Representative

Series 65 - Bond Certificates

Series 65 - 10.6.2.1. Definition of an Advertisement

Series 24 - 4.1.3.1.2. Close Corporations

Series 65 - 5.1.3.1.1.1 Taxation of an Estate Account

Series 7 - 7.1.6. Suitability of DPPs

Series 52 - Chapter 5 Practice Question Answers

Series 14 - 7.3.2.2. Investment Adviser Representatives

Series 63 - Chapter 2 Practice Question Answers

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

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

I thought you might appreciate knowing that I passed the test with a 90 today. Thanks again for all the help and good quality material that your company has. I am very glad to have used your materials and will certainly refer others to Solomon Exam Prep. (Series 6 & 63)

Matthew Baird, Gloversville, NY

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

I just passed the S51 with an 86%. I want to express my sincere thanks to Solomon. I love the way you structure your practice exams. I always enjoy receiving speedy responses from Ask the Professor, especially from Karen. Karen, thank you for all your help, you are the best!!!!!!!

Margaret Chen, PFS Investment, Duluth, GA