Series 14: 5.2.6. Managing Conduct With The Public

Taken from our Series 14 Online Guide

5.2.6. Managing Conduct with the Public

FINRA strictly prohibits broker-dealers and their associated persons from engaging in specific activities with regard to customer accounts. The Series 14 might test you on the rules and regulations associated with some of these activities.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.6. Managing Conduct With The Public, you might also be interested in:

Series 51 - Introduction

Series 22 - 5.1.1. Types of Customer Accounts

Series 52 - Series 52 Online Guide

Series 7 - 9.4.2.7 Accumulation/Distribution Indicator

Series 7 - Exercise

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

The Series 6 Exam Simulator was a life saver. Thanks!

Ryan Ainsworth, Northwestern Mutual, Tacoma, WA

Thank you guys for the outstanding prep materials. I took the Series 79 and 63 in the same week and passed both the first time with great scores. I could not have been better prepared. Your exam simulator is especially awesome! Nothing on either exam surprised after.

Richard Walters, Virginia Beach, VA

For the Series 99 I bought and studied the STC and the Kaplan study manuals and test banks but I pattern matching questions versus fundamentally understanding the content. I stumbled upon the Solomon test bank during a Google search and I am glad that I did. The Solomon test bank went into a lot more detail in the answers which allowed me to better understand the actual content versus just pattern recognition in the questions. Some have said that the Solomon test bank is harder than the test which I think may be true but learning the content at this level of detail is how I was able to feel confident walking in and walking out with a pass on the first attempt.

Garry Kindred Denver, CO

Excellent exam preparation! Passed on my 1st attempt! SIE EXAM DO LOTS OF PRACTICE EXAMS, AND FLASHCARDS. I found the real exam question easier than the Solomon's ones. Thank you!

Gil Malamut, Prudential. New York, NY

Great preparation for a first-time-go on my SIE exam! Used the audio book for my commutes, and the presentation was good addition to back up the book. I leveraged the exam simulator which was priceless in making me feel like I was prepared for the exam. And, once I got into the test, I was prepared enough that I wondered if the real exam was going to get more difficult at the end...? I felt confident and well-prepared. Will be ordering the top-off shortly! Thanks for a great product and outstanding support!

Jeff Hughes, Cambridge Investment Research. Fairfield, IA

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

Series 14: 5.2.6. Managing Conduct With The Public

Taken from our Series 14 Online Guide

5.2.6. Managing Conduct with the Public

Since you're reading about Series 14: 5.2.6. Managing Conduct With The Public, 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 →