Series 99: Entitlement Policy

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Entitlement Policy ...

a policy that dictates and controls who may have access to a company’s physical spaces, such as buildings, office spaces, computer systems and paper files.

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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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