Series 14: 9.1.2.4. Supplemental Sales Literature

Taken from our Series 14 Online Guide

9.1.2.4. Supplemental Sales Literature

The Investment Company Act requires that any sales literature connected with a public offering by any open-end investment company, UIT, or face-amount certificate company be filed with the SEC or FINRA within 10 days of its distribution. Investment company sales literature is any communication (in writing or over the public media) that offers to sell or induce the sale of investment company securities. This includes not only a communication between a firm and

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 9.1.2.4. Supplemental Sales Literature, you might also be interested in:

Series 65 - 6.3.3. Required Minimum Distributions (RMDs)

Series 24 - General Ledger

Series 79 - Chapter 2 Practice Question Answers

Series 79 - Evaluation of Specific Aspects of the Proposed Deal

Series 7 - 15.3. Short Positions in Margin Accounts

Series 51 - Antifraud Regulation

Series 22 - 6.1.4.1. Customer Account Statements

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

As an international student from Bogota, Colombia who recently graduated from Principia College in Business administration and economics, I was looking for the best learning software alternative to study for the Series 65 exam. When I started using Solomon Exam Prep, I realized it was the best option due to its friendly platform, extensive question bank, detailed video lessons and meticulously written study guide for the test. As a native Spanish speaker, I was afraid that I wasn't going to understand, but thanks to Solomon Exam Prep's user friendly guide, I was able to understand every concept from multiple points of view with the help of the video lessons, study guide, note cards and audiobook. I am so grateful that I got to finish the program in 8 weeks start my training as an Investment Adviser Representative for Challenger Wealth Management at 24 years old!

Esteban Rojas Acuna, Challenger Wealth Management. Los Angeles, CA

Rachna Shah, CBRE. Beverly Hills, CA

Solomon's study materials and practice exam helped prepare me quickly and made me confident going into the SIE exam. I'm happy to have used their services and highly recommend their products for the SIE exam.

Kevin Ramani. Boston, MA

You guys rock!

Scott MacDonald, Lee Munder Capital Group, Boston, MA

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY