Series 99: Chapter One

Taken from our Series 99 Top-off Online Guide

Chapter One

Customer Accounts and Customer Trades

Since the 1930s, the federal government has regulated broker-dealers and any of their personnel having direct contact with the public. The Financial Industry Regulatory Authority (FINRA) was given the responsibility to register broker-dealers and certain employees and to guide and monitor their behavior. With the financial crisis of 2008 and the industry scandals that came with it, FINRA saw a need to expand its regulatory authority and govern back-office personnel

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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.

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