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 79 - Exercise

Series 66 - Exchange-Traded Funds (ETFs)

Series 65 - Callable Bonds

Series 3 - Part Two

Series 63 - Currency Transaction Reports (CTRs) and Suspicious Activity Reports (SARs)

Series 26 - Breakpoint Sales

Series 53 - Disclosure Standards

Series 7 - Chapter Seventeen

Series 54 - MFPs and MAPs

Series 65 - Series 65 Frequently Asked Questions

Series 66 - Exercise

Series 82 - Interest Payments

Series 79 - Chapter 13 Practice Questions

Series 50 - Important Percentages for Chapter Five

Series 50 - Securities Exempt from Registration

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

Five decades in the muni business didn't guarantee I'd pass the Series 50 pilot exam. (Just knowing content doesn’t mean you are ready for the test.) Thankfully, my Solomon Exam Prep materials were fantastic at teaching complex subject matter in a way that made the answers clear, and I passed the test with ease.

If you plan to take the Series 50 exam, then I strongly recommend that you give yourself the edge that Solomon's study materials provide.

John Canney, Municipal Advisors Group Boston, MA

I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH

You guys produce a great product, and your 82 materials really saved my life. Thanks.

Joshua M. Salisbury, Salisbury Financial, Atlanta, GA

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA