Series 99: 3.1.14 Sharing In The Profits Of Customer Accounts

Taken from our Series 99 Top-off Online Guide

3.1.14 Sharing in the Profits of Customer Accounts

FINRA also prohibits member firms and associated persons from sharing directly or indirectly in the profits or losses in any customer account unless both of the f

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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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Started studying May 15. Passed it (Series 7) on June 28 with 91%. Very happy.

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