Series 14: 5.1.6.3. Review Of Customer Accounts

Taken from our Series 14 Online Guide

5.1.6.3. Review of Customer Accounts

Written supervisory control procedures require the periodic review of customer accounts to prevent and detect irregularities and abuses. Procedures must be reasonably designed to prevent the inspections from being compromised due to conflicts of interest at the location at whic

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.1.6.3. Review Of Customer Accounts, you might also be interested in:

Series 82 - Insider Trading Penalties

Series 24 - 2.6.6.4. FinCEN Records and Reports

Series 28 - Replacement of Accountant

Series 6 - 7.5.3.4. Four-Year Records

Series 63 - 5.7.10. Personal Outside Investment Accounts

Series 79 - 3.1.4. Debt/Equity and Debt/Capital Ratios

Series 51 - Put Options and Repurchase Agreements

Series 28 - Close-Out by Seller: Sell-Out Procedures

Series 66 - Common Stock Shareholder Rights

Series 53 - Official Statement Exemption for Certain Limited Offerings

Series 79 - 11.2.8. Evaluating Credit Implications

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

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

Recently passed my Series 22 using the Solomon material. Failed the exam once previously using The Securities Institute of America material. Solomon gave me the tools in order to succeed and pass my exam. I highly recommend this material!

Cole Seelhammer. New Braunfels, TX

Your Series 79 book was great and your practice questions were spot-on. I passed the first time. Thanks!

Stephen Hsu, Los Angeles, 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 just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL