Series 14: 5.2.6.2. Restrictions On The Sharing Of Accounts With Customers

Taken from our Series 14 Online Guide

5.2.6.2. Restrictions on the Sharing of Accounts with Customers

FINRA also prohibits member firms and associated persons from sharing directly or indirectly in the profits or losses in any customer account unless the following conditions apply: (1) the associated person obtains prior written consent from both the

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 5.2.6.2. Restrictions On The Sharing Of Accounts With Customers, you might also be interested in:

Series 63 - 5.3.3 Trading Authorization

Series 54 - 2.2.2.7. “Know Your Client” Requirement

Series 14 - 9.1.8. Communications That Include a Recommendation

Series 27 - Recordkeeping Exemptions

Series 24 - S-4 Registration: SEC Rule 145

Series 51 - Exception for Reserve Fund

Series 66 - Accumulation Phase for a Nonqualified Annuity

Series 7 - 17.4.2.1. Buy and Sell Orders

Series 65 - 10.11.8 Insider Trading

Series 28 - FINRA Adjudicatory Rules

Series 28 - When-Issued Contracts

Series 28 - Cash Account

Series 53 - Reporting and Payment of Designated Orders

Series 24 - Payment for Market Making

Series 7 - 16.3.2.1 Designated Roth Accounts Within 401(k), 403(b), and 457 Plans

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 studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

This is my fourth time using Solomon's exam materials (Series 99, 7, 63, and now the 24)....and I PASSED once again on my first try. Thank you Solomon- your exam question simulator was extremely helpful!

Kim Schmidt, Elmcore Securities, Las Vegas