Series 14: 1.7.1.4. Formal Hearings

Taken from our Series 14 Online Guide

1.7.1.4. Formal Hearings

If the respondent contests a violation or if the regulators deny a settlement offer or waiver, the dispute will devolve to a formal hearing proceeding. The Chief Hearing Officer will appoint a Hearing Panel to conduct the disciplinary proceeding and issue a decision.

Within 21 days after a respondent has answered a complaint, the Hearing Officer may order a

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 1.7.1.4. Formal Hearings, you might also be interested in:

Series 24 - Shareholder Voting Rights

Series 24 - 2.2.3. Reporting Behavior Violations

Series 65 - Short Put

Series 65 - Individual and Joint Accounts

Series 50 - Ginnie Mae

Series 99 - Exercise

Series 24 - 2.7.2. Subordination Agreements

Series 7 - 9.4.1.5.3 Measures of Profitability

Series 24 - The Price of a Mutual Fund

Series 66 - Chapter Seven: State and Federal Securities Acts and the Regulation of Securities Professionals

Series 99 - 2.1.3.1.1 FINRA/NASDAQ Trade Reporting Facility

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 really liked the Solomon study materials. They did a really nice job of explaining the material in plain language. I have a really long commute and the audio books came in really handy!! I would recommend the Solomon study materials!

Jessie Urban, Securities America Inc, LaVista, NE

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

Passed the 65 with an 80% and the 6 with an 87%. Passed both of them on the first try. I give the credit to Solomon. I've had a lot of my friends try other vendors but they were glad to take my advice and switch to Solomon. This course helps you understand the concepts so you can think out the uniquely crafted questions the actual tests ask. Thanks so much.

Gerald Barnes, Client One, Peoria, AZ

The Solomon Series 66 prep material was very comprehensive and practice quizzes and exams helped a great deal to gauge my likelihood of passing the exam

Florence Isaac Chicago, IL

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 14: 1.7.1.4. Formal Hearings

Taken from our Series 14 Online Guide

1.7.1.4. Formal Hearings

Since you're reading about Series 14: 1.7.1.4. Formal Hearings, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →