Series 99: 3.4.3.1 Annual Certification Of Compliance And Supervisory Processes

Taken from our Series 99 Top-off Online Guide

3.4.3.1 Annual Certification of Compliance and Supervisory Processes

Each member firm shall have its chief executive officer (or equivalent officer) certify annually that the member has in place processes to establish, maintain, review, t

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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.

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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.

Garry Kindred Denver, CO

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Eric Cunningham PNC Pittsburgh, PA

I took my test [Series 99] yesterday and passed with 87% on the first attempt. Thank you.

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