Series 99: 2.3.2.3 Permissible Use Of Customers’ Securities

Taken from our Series 99 Top-off Online Guide

2.3.2.3 Permissible Use of Customers’ Securities

A firm cannot lend a customer’s securities to itself or others without first obtaining the customer’s written authorization. Customer accounts with fully paid or excess margin securities must be segregated in one of the following ways:

• Physical segregation of securities with a separate lis

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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.

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