Series 99: Currency Transaction Report (CTR)

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Currency Transaction Report (CTR)...

a report submitted to the IRS by a financial institution that receives cash transactions exceeding $10,000 from any single customer in a single day, whether conducted in one transaction or several smaller ones.

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I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

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