Series 99: FTC Red Flags Rule

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term FTC Red Flags Rule...

a rule established by the Federal Trade Commission that requires broker-dealers, investment advisers, and investment companies to establish and maintain identity theft programs. Under the terms of the rule, these programs should be set up to detect the warning signs of identity theft present in a firm’s day-to-day operations.

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I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

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