Series 99: 2.1.3.1.4 Trade Reporting And Compliance Engine (TRACE)

Taken from our Series 99 Top-off Online Guide

2.1.3.1.4 Trade Reporting and Compliance Engine (TRACE)

Unlike stocks, bonds are not generally traded on exchanges. Instead, bond trading takes place directly between broker-dealers, banks, mutual funds, and other market makers in a decentralized, over-the-counter market. Bonds have not been well-suited to exchange trading because their types are less uniform and more varied than stocks. There are corporate bonds, government and agency bonds, municipal bonds, mortgage and collateralized debt obliga

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 2.1.3.1.4 Trade Reporting And Compliance Engine (TRACE), you might also be interested in:

Series 66 - REIT Suitability

Series 99 - 3.1.12 Displaying Priced Quotations in Multiple Quotation Mediums

SIE - Exercise

Series 52 - 5.1.5.2. Debt Service to Annual Revenue

Series 7 - 17.5.2.6. Clearly Erroneous Transactions

Series 14 - 4.3.1. Opening a Margin Account

Series 7 - 9.2.1.2.2. Modifying the Discount Rate

Series 54 - 1.5.1. Natural Persons that Are Employed by a Municipal Advisor

SIE - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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.

The online exam simulator was essential to helping me pass the Series 82 on my first attempt!! Have always used Kaplan for previous FINRA exams, so didn't know what to expect at first, but I was definitely prepared for this exam! Great job to everyone at Solomon, especially the exam writers !!

Luke Garcia, Capital Group, West Chester, PA

I just passed the Series 6. The Solomon Audio/CD set was essential for me as I spend 1.5 hours per day in my car, so that became my study time! Thank you for providing an audio/cd version! I have just ordered the Series 65 set as well.

Ambia Peoples, North Florida Financial Corp, Jacksonville, FL

Passed the Series 66 on my first attempt. I thought the exam simulator was perfect. The material gave me the confidence I needed going into test day. I will only use Solomon for any other exams I take in the future. Thank you!

Brendan Halick, David White & Associates, Walnut Creek, CA