Series 99: 2.4.6 Timeline For Posting Entries

Taken from our Series 99 Top-off Online Guide

2.4.6  Timeline for Posting Entries

FINRA’s Regulatory Notice 94-6 interprets SEC Rule 17a-3 by providing posting deadlines. See the table below.

Posting Timing Requirements

Record

Posting Requirement

Blotters

No later than the first business day following the transaction

Stock record

No later than the first business day following the transaction

General ledger

Monthly, no later than 10 business days from month end

Securities transfer ledger

No later than two business days following the date of the securities o

Since you're reading about Series 99: 2.4.6 Timeline For Posting Entries, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!