Series 99: Non-objecting Beneficial Owner (NOBO)

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Non-objecting Beneficial Owner (NOBO)...

a security holder who gives permission to a broker-dealer or other financial institution to release the owner’s name and address to the companies that one has invested in. Registering as a NOBO enables the company to contact the beneficial owner about upcoming shareholders meetings and provide other information.

+ Read More

More Series 99 Info

What are people saying?

Create an Account

We have an excellent Audiobook for the Series 99!

Since you're reading about Series 99: Non-objecting Beneficial Owner (NOBO), you might also be interested in:

Series 26 - delivery vs. payment (DVP)

Series 66 - income fund

Series 24 - Savings Incentive Match PLan for Employees (SIMPLE) plan

Series 7 - open-end management company

Series 7 - UTMA account

Series 24 - net basis transaction

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

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN

I passed the Series 7 with an 86 percent! Solomon's exam prep material is the best. I highly recommend the online study guide and exam simulator.

Kim, Las Vegas, Nevada

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London