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

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 3.1.14 Sharing In The Profits Of Customer Accounts, you might also be interested in:

Series 79 - Eurobonds

Series 54 - 2.3.2. Restrictions on Financial Advisors

Series 50 - Municipal Governance

SIE - Verification by Principal

Series 7 - 17.6.2 NMS Quotation Access and Disclosure: Regulation NMS

Series 52 - 9.2.4. Delivery and Payment

Series 53 - Securities Issue Information

Series 24 - 5.3.1. OTC Bulletin Board

Series 66 - 4.3.2.2. Semi-Strong Form Efficient Market Hypothesis

SIE - Exercise

Series 53 - 6.2.4.1. Rejection of Delivered Securities

Series 63 - Prudent Investor Standards

Series 65 - 2.12.1. Mortgage-Backed Securities

Series 3 - 2.1.1.3. Yield to Call

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.

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

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

Questions from the exam simulator were pretty similar to the actual series 52 exam, and I felt prepared with the study guide. I will be purchasing the series 53 study materials from Solomon in the near future.

Del Martin, Packerland Brokerage Services. Green Bay, WI

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I loved using Solomon Exam Prep. I used Solomon for 1 month and passed my Series 65 exam. I had previously used Kaplan and failed the same exam. I feel as if Solomon provided significantly better Exam prep and technology in a more concise manner than any other system I have used. Thank you for such a great service.

Mackenzie Abbate Knights of Columbus Slidell, Louisiana