Series 99: 2.4.5 Three-Year Records

Taken from our Series 99 Top-off Online Guide

2.4.5 Three-Year Records

Most other records must be retained for three years. They include:

• A memorandum of each brokerage order given or received for the purchase or sale of securities for customer and firm accounts. (See above.)
• A memorandum of each purchase and sale for the firm’s account. This must show the same information as above.
• Copies of customer confirmations and copies of notices of all other debits and credits for customer accounts.
• Identification data on beneficial owners of all accounts. This must include the beneficial owners’ names and addresses.
• The applic

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 2.4.5 Three-Year Records, you might also be interested in:

Series 26 - Conditions of Individual Registration

Series 24 - 2.6.6.1.4. Changes in Account Name or Designation

Series 66 - 3.6.4.8.3 Tax-Qualified Variable Annuities

Series 50 - General Ledger

Series 65 - 6.1.1.1.2.2 Determining the Basis of Mutual Fund Shares

Series 7 - 3.5.2.1.1 Rate Covenant

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 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 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.

Thanks to Solomon, the 79 went smoothly. Your materials were phenomenal in my preparation.

Nate Nead, InvestmentBank.com, Seattle, WA

I struggled with passing the Series 52 exam. I used study materials from Kaplan & STC Interactive. It wasn't until I used Solomon's materials that I was able to pass the exam.

Belinda Wilson, Stifel Nicolaus & Co, Montgomery, AL

Great preparation for a first-time-go on my SIE exam! Used the audio book for my commutes, and the presentation was good addition to back up the book. I leveraged the exam simulator which was priceless in making me feel like I was prepared for the exam. And, once I got into the test, I was prepared enough that I wondered if the real exam was going to get more difficult at the end...? I felt confident and well-prepared. Will be ordering the top-off shortly! Thanks for a great product and outstanding support!

Jeff Hughes, Cambridge Investment Research. Fairfield, IA