Series 99: 1.2.3.5.1.4 Holding Checks For Extended Periods

Taken from our Series 99 Top-off Online Guide

1.2.3.5.1.4 Holding Checks for Extended Periods

Both the SEC and FINRA have rules regarding the processing of customer funds and securities. Checks from or to customers must not be held for extended periods but must be processed promptly, preferably the same day as received or requested. A firm’s policies and proc

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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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