Series 99: 1.2.2.2 Joint Accounts

Taken from our Series 99 Top-off Online Guide

1.2.2.2  Joint Accounts

A joint account is registered to more than one adult and allows more than one account holder to access and trade in the account. Upon opening a joint account, all parties must sign the new account form, which also operates as a joint party agreement. The joint party agreement specifies the details and rules of the account. Important rules include:

  • All parties are allowed access to the account and may make trading decisions independently in the account.
  • All physical certificates sold from the account must be signed by all parties.
  • All checks for sale proc

Since you're reading about Series 99: 1.2.2.2 Joint Accounts, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!