Series 99: 2.2.6 Clearly Erroneous Transactions

Taken from our Series 99 Top-off Online Guide

2.2.6 Clearly Erroneous Transactions

A clearly erroneous transaction is a transaction where there has been an obvious error in any term, including price, number of shares, unit of trading, or identification of security. Both NASDAQ and FINRA have mechanisms in place to review trades and m

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 2.2.6 Clearly Erroneous Transactions, you might also be interested in:

Series 65 - Secondary Market Components

Series 28 - Supervision of Supervisors

Series 6 - 7.5.3.4. Four-Year Records

Series 63 - Net Capital Requirements

Series 24 - Wrap Accounts

Series 14 - 1.8.2. Code of Mediation

Series 6 - 7.4.1.5.5. Market Value vs. Book Value of an Equity Security

SIE - 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 was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

Alyssia Simpson. Denver, CO.

I passed first try on the SIE. Thanks to Solomon! The exam simulator is super helpful for prepping for test day.

William Windham, Solebury. Brooklyn, NY