Series 99: 3.1.1 Publication Of Transactions And Quotations

Taken from our Series 99 Top-off Online Guide

3.1.1 Publication of Transactions and Quotations

Members may not publish or circulate a communication of any kind that reports a transaction as a purchase or sale of any security unless they believe that the purchase is a bona fide transaction. Nor may they publish or circulate any communication that quotes the bid or ask price for any securi

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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.

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.

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I was using a different study program and failed my exam. Once I enrolled in Solomon’s program I not only passed, but improved by over 20%. The practice exams were very close to the language on the FINRA exams.

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