Series 99: 2.3.3 Financial And Operational Reporting

Taken from our Series 99 Top-off Online Guide

2.3.3 Financial and Operational Reporting

Each carrying or clearing member must submit to FINRA on an ongoing basis (or upon request) any financial and operational information FINRA deems essential to protect investors and the public interest. This also applies to institutional brokerage firms that transmit customer funds and securities on a DVP/RVP basis and do not carry margin accounts.

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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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