Series 99: 3.1.4 Trading Ahead Of Research Reports

Taken from our Series 99 Top-off Online Guide

3.1.4 Trading Ahead of Research Reports

Member firms are prohibited from increasing or decreasing an inventory position based on advance, nonpublic information contained in a research report before the research report is released. This means that firms may not buy or se

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 3.1.4 Trading Ahead Of Research Reports, you might also be interested in:

Series 7 - 3.6.36 Rule G-37—Regulation of Political Contributions

Series 79 - Income

Series 53 - Current Yield

SIE - 6.1.7.1. Electronic Access Can Meet Prospectus Delivery Requirements

Series 22 - Chapter One

Series 82 - BrokerCheck Disclosure

Series 3 - 5.3.5. Vertical vs. Horizontal Spreads

Series 14 - 6.4. Mergers and Acquisitions

Series 65 - Discretion

Series 66 - Prohibited Mutual Fund Practices

Series 50 - Basic Concepts for Taxing Municipal Bonds

Series 66 - 3.1.2. Types of Mutual Funds

Series 7 - 17.5.1.1. Transaction Reporting and Compliance Engine

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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 the Series 7 on my first attempt. In fact, five years ago, I also passed both the Series 6 and 63 on my first attempt. In all cases, I used Solomon Exam Prep materials which make sometimes 'dry' topics much more readable. Also, having the option to take an unlimited number of practice tests and receive immediate, thorough feedback was invaluable. I highly recommend them!

Blaine Burnett

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 wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA