Series 14: 2.3. Transacting Business On An Exchange

Taken from our Series 14 Online Guide

2.3. Transacting Business on an Exchange

A transaction usually starts at a brokerage office. An investor examines the market with his broker and places an order. The order is sent to the exchange either electronically or by telephone. At the NYSE today, most orders to buy or sell sto

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 2.3. Transacting Business On An Exchange, you might also be interested in:

Series 24 - 5.5.1. Listing Requirements

Series 65 - 3.8.3.2 Contract Exchange

Series 24 - Outside Activities

Series 51 - Chapter Two: Product Knowledge: Municipal Fund Securities

Series 24 - 3.11.8. Special Filing Requirements

Series 66 - Exercise

Series 3 - 7.6.2. NFA Dispute Arbitration Procedures

Series 14 - 8.3.5.2. Investment Adviser Accounts

Series 24 - 3.2.6. Prime Brokerage Accounts

Series 7 - 14.5.2. Transfer and Hold

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 used Solomon for the Series 52 after failing twice with Kaplan and STC. Solomon was immensely more helpful, simpler to understand, and more accurate than both companies combined. The practice questions were very similar to the ones I saw on the exam and the Ask the Professor feature was quick and helpful. I will be using Solomon for the Series 7 in a few months, and I recommend everyone who need to take a FINRA exam to use Solomon before anything else.

Christopher P, Academy Securities. New York, NY.

Solomon Exam prep did a great job helping me prepare for the Series 50. The exam simulator was excellent and I felt so prepared during the exam!

Amber Nielsen, Baker Tilly Municipal Advisors. Mishawaka, IN

I'm not the best test taker. Solomon changed that. I was struggling on the quizzes and practice test. However, I passed the SIE on the first try. Took me less than one hour to complete. I felt very prepared.

Lamar Barnes, Washington D.C.

PASSED SIE ON MY FIRST TRY!! Initially started with a competitor but I was referred to study through Solomon instead. After comparing the two, I stuck to Solomon for 6 weeks straight. The material and practice q’s gave me a better understanding and helped me prepare for the actual exam. Thank you!!

Gelyn Rice, Allstate, Los Angeles CA

I just passed the Series 6. The Solomon Audio/CD set was essential for me as I spend 1.5 hours per day in my car, so that became my study time! Thank you for providing an audio/cd version! I have just ordered the Series 65 set as well.

Ambia Peoples, North Florida Financial Corp, Jacksonville, FL