Series 99: 2.3.2.4 FINRA Count And Verification Requirements

Taken from our Series 99 Top-off Online Guide

2.3.2.4 FINRA Count and Verification Requirements

Carrying or clearing members who must comply with the quarterly security count rule must make more frequent counts, verifications, and records entries where prudent. In addition, they must receive position statements from their clearing corporations or custodians no less than once a month with respect to the members’ securities held by those entities. The carrying or clearing members must then reconcile those securities and the money balances with their own books and records. The firms must promptly report and resolve any

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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.

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