Series 99: 1.2.2.4 Institutional Accounts

Taken from our Series 99 Top-off Online Guide

1.2.2.4 Institutional Accounts

An institutional account, as noted above, is held by a large business institution, such as a bank, pension fund, mutual fund, labor union, or insurance company.

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 1.2.2.4 Institutional Accounts, you might also be interested in:

Series 24 - Fair Dealing with Customers

Series 82 - 3.4.3.1.6. Economic, Social, and Political Risk

Series 7 - 3.6.14 Rule G-14—Reports of Sales or Purchases

Series 63 - The Registration Process

Series 53 - 3.1.1.1.3. Transactions with Sophisticated Municipal Market Professionals (SMMPs)

Series 66 - 4.2.1.4. Speculation

Series 7 - 12.5. IPO Transaction Rules

Series 66 - 9.4.8. Insider Trading

Series 53 - Approval by Principal

Series 28 - Delivery of Securities with Restrictions

Series 7 - 5.5. Non-Equity Options

Series 65 - 2.11.4. STRIPS (Separate Trading of Registered Interest and Principal of Securities)

Series 66 - 1.2.2.10. Portfolio Benchmarks

Series 26 - Chapter 4 Practice Questions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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.

Eric Cunningham PNC Pittsburgh, PA

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.

Alyssia Simpson. Denver, CO.

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.

Garry Kindred Denver, CO

I passed. Your Series 99 exam prep class was spot-on. Thanks!

Kathy Stanfield, P.J. Robb Variable Corp., Memphis, TN

After trying numerous study materials, Solomon was the key to pass my Series 24. The live class was a perfect complement. Thank you Karen for your assistance!

Marie, Miami, FL

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA