Series 14: 4.1.3.2. Introducing Broker-Dealers

Taken from our Series 14 Online Guide

4.1.3.2. Introducing Broker-Dealers

As discussed in Chapter 3, introducing firms, also called fully disclosed firms, keep customer accounts but do not hold customer funds or securities or carry customer accounts themselves. Instead, they have an arrangement with a clearing, or carrying, firm to maintain custody of their

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.3.2. Introducing Broker-Dealers, you might also be interested in:

Series 7 - 4.1. Calculating Capital Gains and Losses

Series 53 - 6.4. Price and Interest Rate Calculations

Series 65 - Coverdell Education Savings Accounts

Series 50 - The Structure of the Issue

Series 82 - Economic, Social, and Political Risk

Series 79 - Exercise

Series 65 - Weak Form Efficient Market Hypothesis

Series 79 - A1.3.1. Leading Indicators

Series 6 - 4.1.2.1. Preferred Dividends

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 Solomon! You helped me pass the 6 with a 90%. Would recommend this to anyone! Material is fantastic! I'm getting the 63 to help me pass too!

Brad E, Jefferson National, Louisville, KY

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA

Used Solomon for my second & third time. First time I used a different company & day of test, I had no idea what I was reading. Second time, I bought Solomon a little too close to my test date, failed but had a higher score. Third Time, used strictly Solomon & passed! Cant thank Solomon enough, will recommend to everyone!

Ashley F, Citi. New York, NY

Passed the Series 66 today! This program really helped me succeed. The pie charts helped me focus on where I needed to put in more work.

Stephen Rice, Edward jones. Prairie Village, KS