Series 99: 1.2.3.1 Updating Customer Account Records

Taken from our Series 99 Top-off Online Guide

1.2.3.1 Updating Customer Account Records

As described earlier, the SEC requires that brokerage firms create a record for each account based on the information provided in the new customer account form. The firm must return a copy of the new account form to the customer within 30 days of opening the account. In maintaining the account, the firm must also

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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

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