Series 3: 1.3.4.4. The Clearing And Settlement Process

Taken from our Series 3 Online Guide

1.3.4.4. The Clearing and Settlement Process

A trade is cleared when the two sides of a trade compare its details to make sure that they match and arrange for the transfer of funds and securities. A trade is settled when the transfer of funds is completed.

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 1.3.4.4. The Clearing And Settlement Process, you might also be interested in:

Series 66 - Investing and Reinvesting in Mutual Funds

Series 26 - Formal Hearings

Series 63 - 1.1.2.1.1 Federal Exclusions from the Definition of Investment Adviser

Series 66 - Tactical Asset Allocation

Series 22 - 2.1.1.3. Accounting Method

Series 50 - Third-Party Marketer

Series 65 - International Economic Factors in Securities Markets

Series 63 - Exercise

Series 65 - 5.1.2 Business Structures and Business Accounts

Series 24 - 4.3.2.4. Filing Requirements and Disclosures

Series 53 - Registration Rules

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

Passed my Series 65 on the first try! Solomon really has everything you need to pass. I followed the recommended schedule and took a ton of practice tests. This gave me a ton of confidence and it paid off!

Andrea Rivera, ForUsAll. Salt Lake City, UT

I found the (Series 82) material from Solomon superior to the other major providers of these types of study guides. The online testing was also quite good and I loved the range of options (half tests, half tests with answers, full tests, etc.). Starting with half test with answers and working my way to full tests without answers built my confidence. Also, their customer service is second to none. If I had a question about the test, my email was answered within the day, as opposed to most companies, which is never. Thanks so much!

Jackson Stith, SyndiGate Capital. Miami, FL

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA