Series 99: 3.2.1 Information Barriers

Taken from our Series 99 Top-off Online Guide

3.2.1 Information Barriers

Section 15(g) of the Exchange Act requires registered broker-dealers to establish, maintain, and enforce written policies and procedures to prevent the misuse of material, nonpublic information (MNPI) by the firm or its associated persons.

Information is material if there is a substantial likelihood that a reasonable investor would consider it important in deciding whether to buy, hold, or sell a security. Therefore, any information that could reasonably be expected to affect the price of the security is material. Nonpublic means the information is yet to be disclosed to the general marketplace. Information is considered to be available to the public only when it has been released to the public through appropriate channels, such as by means of a press release or a public statement from one of the corporation’s senior officers, and enough time has elapsed to permit the investment market to

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 3.2.1 Information Barriers, you might also be interested in:

Series 65 - 4.5. Alternative Products

Series 28 - FINRA Recordkeeping Requirements

Series 7 - Chapter 3 Practice Question Answers

Series 65 - 10.11.10 Outside Business Activities

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

Used a different exam prep for my first 2 tries and failed miserably. Picked up the Solomon Series 6 full study package and passed my third attempt. The audio book and video lectures really made the difference. Thank you!

Rachel R, Ritter Insurance Agency, Huntington Beach, CA

After multiple failed attempts at the Series 6, I felt somewhat defeated. I reached out to Solomon for guidance and I was more than impressed with the response I received. The study material was outstanding and the program structure is truly designed to help you pass! Jeremy Solomon was truly my biggest fan and I can't thank him enough for his help! Solomon is by far the best company out there for test preparation; don't waste any more money on the others this is all you will need to pass!

Tory Hamlin, Agency Owner, Jacksonville, FL

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66