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  • Series 99 Complete Self Study Solution
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  • Comprehensive Question & Exam Reports
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  • $ 209.00

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  • Series 99 Textbook & Exam Prep Software
  • Demo Video
  • Updated
    February 2024
  • Online Account Access
    180 days instant access
  • Physical Perfect Bound Textbook
    432 pages
  • Ebook
  • Video Training Class
  • Test Bank
    1,200 questions
  • Number of ways to customize exams
    15
  • Comprehensive Question & Exam Reports
  • Unlimited Randomized Simulated Final Exams
  • Unlimited Topic Focused Practice exams
  • Checkpoint Exams
  • Greenlight Exam
  • GreenLight Money Back Pass Guarantee
  • Exam Plan Personal Study Calendar
  • Shipping
    Free UPS Shipping
    Your tracking number will be emailed to you
  • Online Tools
    Accessible from any computer, phone or tablet
  • Test Tips Video to Improve Your Score
  • Cheat Sheets
    The ultimate shortcut and final crunch time reference guide
  • Phone Email & Chat Support
  • $ 124.95

  • BEST ADDITIONAL PRODUCT

  • Series 99 Online Video Class
  • Demo Video
    play button
  • Updated
    February 2024
  • Online Account Access
    180 days instant access
  • Physical Perfect Bound Textbook
  • Ebook
  • Video Training Class
    13 Hours - 16 videos - 16 section tests
  • Test Bank
    1,200 questions
  • Number of ways to customize exams
    15
  • Comprehensive Question & Exam Reports
  • Unlimited Randomized Simulated Final Exams
  • Unlimited Topic Focused Practice exams
  • Checkpoint Exams
  • Greenlight Exam
  • GreenLight Money Back Pass Guarantee
  • Exam Plan Personal Study Calendar
  • Shipping
  • Online Tools
    Accessible from any computer, phone or tablet
  • Test Tips Video to Improve Your Score
  • Cheat Sheets
    The ultimate shortcut and final crunch time reference guide
  • Phone Email & Chat Support
  • $ 124.99

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  • Study Guide - 432 pages
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  • Updated February 2024
  • Unlimited access to videos and test bank for 6 months
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Series 99 Important Concepts

Introduction

The foundation of a firm’s supervisory system is its written supervisory manual, also known as the firm’s policy and procedures manual. All members are required to have a policy and procedures manual that outlines the supervisory structure of the firm and that designates a principal to be responsible for each business area of supervision. The policy and procedures manual must include the title, location, and registration status of all supervisors and a copy of the manual must be kept in each office of the firm where supervised activities are conducted. The purpose of the written policy and procedures manual is to ensure compliance with the firm’s rules, as well as the rules of the industry. The manual must be updated to reflect the adoption of new policies, a change in personnel, or new industry regulations.

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Prior to opening an account for any new customer, a registered representative must complete and sign a new account form. Account ownership is divided into five main types:

  • Individual
  • Joint
  • Corporate
  • Trusts
  • Partnership

The registered representative should try to obtain as much information about the customer as possible. The representative should obtain:

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Customer Confirmations

All customers must be sent a confirmation at or before the completion of the transaction. Industry rules consider the completion of the transaction to be the settlement date. For buyers of the security, it is the time when the payment is made. If the customer has the funds available in the account, it is the time when the funds are moved through a book�keeping entry. For the seller, it is the time when they deliver the security. If the security is delivered prior to its due date, completion will occur when the payment is credited into the account. It is unlawful to settle a transaction without having sent a confirmation of the transaction to the customer. All customer confirmations must include:

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Prior to executing a customer’s order, the representative must fill out the appropriate order ticket and present it to the trading department or wire room for execution. All order tickets will include:

  • Buy or Sell
  • Name of security
  • Number of shares or bonds
  • Account name and number
  • Account type, i.e. cash or margin
  • Price and time limits if any
  • Solicited or unsolicited
  • Discretionary authority exercised or discretionary authority not exercised, if applicable
  • Time stamp when entered, executed, changed, or canceled

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