Series 14: 2.4. Transacting Business On An Exchange

Taken from our Series 14 Online Guide

2.4. Transacting Business on an Exchange

A transaction usually starts at a brokerage office. An investor examines the market with his broker and places an order. The order is sent to the exchange either electronically or by telephone. At the NYSE today, most orders to buy or sell sto

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.4. Transacting Business On An Exchange, you might also be interested in:

Series 53 - Advantages of Advance Refunding

SIE - Exercise

Series 65 - 2.8 Unsecured Bonds

Series 3 - 4.1.6.2. Delta

Series 51 - Rule G-21—Advertising Must Be Truthful

Series 3 - 2.1.1.1. Current Yield

Series 7 - 10.4 Tailoring Portfolio Management to Individual Customers

Series 3 - Chapter 2 Practice Questions

Series 14 - 9.1.4.2. Bond Mutual Fund Volatility Ratings

Series 65 - Broker-Dealer vs. Investment Adviser Suitability

Series 3 - Chapter One

Series 52 - Exercise

Series 79 - 9.3.1. Purchases by Issuers and Distribution Participants

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 would not have passed the Series 7 top off without the Solomon materials. The structure of the questions was the closest out of all the programs I tried and their customer support is top notch. I will definitely be back! Thank you!!

Lauren J, Westlake, TX

Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.

Tom L., Atlanta, GA

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

The Series 65 was a tough exam, but thanks to Solomon I passed at the first attempt. The Solomon Exam Prep Course covered every single aspect in detail. The material was not only important to pass the exam, but it is extremely helpful in the job as investment adviser representative.

Isabel Fliss CoreCap Advisors Southfield, MI

I stuck to the outline day by day and it really helped me with sticking to a routine and curriculum. I passed the Series 24 on my 1st try! Would definitely recommend this to anyone in the Securities Industry.

Rima Mehta, PNC Investments, Charlotte, NC