Series 14: 4.1.3.3. Dealers

Taken from our Series 14 Online Guide

4.1.3.3. Dealers

Dealers are defined as firms that effect more than ten transactions in a calendar year for their own investment accounts or write over-the-counter (OTC) options. These firms are r

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 4.1.3.3. Dealers, you might also be interested in:

Series 54 - 2.2.2.5. Advice vs. Recommendation

Series 3 - 7.3.6.4. Security Futures Products

Series 66 - Types of Trading Accounts

Series 79 - 10.4.2. The Private Placement Agent

Series 79 - Depository Receipts and Global Depository Shares

Series 54 - 2.3. The Municipal Underwriting Process

Series 14 - 1.5. Key Regulatory Bodies

Series 82 - Chapter One

Series 26 - Legal Reporting Requirements

Series 24 - 2.4.2.1. Direct Participation Programs (DPPs)

SIE - Telemarketing

Series 53 - 6.2.1.3.2. Securities Issue Information

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 recently passed the Series 65 exam, really recommend this study material. I used other vendors before with no success; this is the best in the market. Thanks so much!

Mauricio Reyes. Boca Raton, FL

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

I passed the Series 65 this afternoon! Your online test simulation was terrific. Thanks so much!

David G., San Francisco, CA

I just took the Series 24 and passed with an 80%. I couldn't have done it without the Solomon test simulator.

Joseph Shapiro, Edward Jones Investments, St. Louis, MO