Series 14: 3.2.1. Short Interest Reporting

Taken from our Series 14 Online Guide

3.2.1. Short Interest Reporting

Member firms must maintain a record of total “short” positions for every customer equity account and must regularly report this information to FINRA. An investor has a net long position when it contains more long than short positions in a security or market sector but includes both. Even though a position is net long and will benefit from a rise in prices, firms must report the

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.2.1. Short Interest Reporting, you might also be interested in:

Series 50 - Municipal Entities and Obligated Persons

Series 26 - Executive Representative Contact Information

SIE - Par Value of Common Stock

Series 66 - Short Put

Series 66 - Prudent Investor Standards

Series 24 - Trading with Foreign Enemies

Series 65 - 1.4.1.5.7 Market Value vs. Book Value of an Equity Security

Series 26 - Definition of Investment Adviser

Series 66 - Semi-Strong Form Efficient Market Hypothesis

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 struggled with passing the Series 52 exam. I used study materials from Kaplan & STC Interactive. It wasn't until I used Solomon's materials that I was able to pass the exam.

Belinda Wilson, Stifel Nicolaus & Co, Montgomery, AL

Love Solomon, I tried other companies and the ones I used didn't prepare me. Solomon teaches you the concepts and the practice tests helped me pass my Series 65, 63, and the 6 on my first try. I've had no less than four of my friends use Solomon and they have all had similar success. Work hard with the correct study material and you will have success.

Gerald Barnes, Client One, Peoria, AZ

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 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

Very excited to pass the Series 66! The Solomon practice exams were very helpful to understand the concepts and fundamentals of the questions. I would highly recommend Solomon Exam Prep for all FINRA exams. Make sure to have a good grasp on agent registration and suitability when taking the 66. Thank you Solomon!

Blake Rossman, TrueWealth. Bellevue, WA