Series 99: 3.2.5.2 Firewall Between Research And A Subject Company

Taken from our Series 99 Top-off Online Guide

3.2.5.2 Firewall Between Research and a Subject Company

FINRA also requires a firewall between a member firm and a company that is the subject of a research report. A member firm may not submit any portion of a research report to the subject company prior to publication, except as necessary to verify the factual accuracy of its information.

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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.

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