Series 99: FTC Red Flags Rule

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term FTC Red Flags Rule...

a rule established by the Federal Trade Commission that requires broker-dealers, investment advisers, and investment companies to establish and maintain identity theft programs. Under the terms of the rule, these programs should be set up to detect the warning signs of identity theft present in a firm’s day-to-day operations.

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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.

Garry Kindred Denver, CO

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Eric Cunningham PNC Pittsburgh, PA

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Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA