Series 99: Quiet Period

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Quiet Period...

1. a period from the beginning of an offering where research analysts that work for a company that is an underwriter of the offering may not make public appearances regarding the issuer. Underwriters may not publish research reports regarding the issuer during this period. The quiet period lasts 10 days for IPOs and 3 days for follow-on offerings. 2. another name for the cooling-off period.

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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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