Series 99: 1.2.3.1 Updating Customer Account Records

Taken from our Series 99 Top-off Online Guide

1.2.3.1 Updating Customer Account Records

As described earlier, the SEC requires that brokerage firms create a record for each account based on the information provided in the new customer account form. The firm must return a copy of the new account form to the customer within 30 days of opening the account. In maintaining the account, the firm must also

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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

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