Series 99: Watch List

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Watch List ...

a list of securities under scrutiny by a regulator, exchange, or brokerage firm as a possible target of trading irregularities, such as high trading volume, a possible merger, or a suspected issuance. A stock on the watch list cannot be traded except with the prior approval of a compliance officer.

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I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

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