Series 99: 2.1.2 Customer Account Statements

Taken from our Series 99 Top-off Online Guide

2.1.2 Customer Account Statements

A customer statement, or account statement, is a monthly, quarterly, and/or annual summary of a customer’s trading activity, positions, and account balance. If there is activity in the customer’s account, the account statement must be sent at least quarterly. Reportable activity includes any or all of the following:

• Purchases and sales of securities
• Dividends and interest received
• Deposits and withdrawals of cash or securities
• Margin interest charged in a margin account

Even if a customer has done no trading during the reporting period, th

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 2.1.2 Customer Account Statements, you might also be interested in:

Series 28 - Units of Delivery for UITs and Certificates of Deposit

Series 52 - 7.3.4. Credit Spreads

Series 50 - Bank Exemption

Series 52 - 9.2.7.2. Close-Out by Seller

Series 52 - 3.1.3. Negotiated Sale Authorization

Series 79 - Limited Partnerships

Series 27 - Amending a Registration

Series 79 - Automatic Shelf Registration Statements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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.

Alyssia Simpson. Denver, CO.

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

I wanted to add my testimonial to the long list of successful test-takers. Passed my Series 65 today on the first try! The materials were well written and made the concepts easier to understand (especially to someone with no background in finance like myself). I was a big fan of the audio format as I have a long drive back and forth to work (other test prep providers did not have this option). The test simulators were also a huge help. Thanks to the folks at Solomon Prep!

Ralph Marshall, High Speed Alliance, Wilmington DE

I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO

Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

Andrew Romans, Los Altos, CA