Must Know Concepts for the Series 99 Exam

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.

Read more

Introduction

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:

Read more

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´┐Żkeeping 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:

Read more

Understanding Broker Dealer Operations on the Series 99 Exam

Order Tickets

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
Read more

Series 99 Study Textbook

Series 99 Exam Textbook

Paperback     320 pages    245 test questions    Published December 2015

The go to guide to acing the Series 99 exam - Our Series 99 textbook is designed to guide you through your entire study process and to get you ready to pass the Series 99 exam. The Series 99 textbook is packed with test tips, Series 99 sample questions and all the must know information you need to pass your exam. Our Series 99 textbook has been developed in partnership with John Wiley and Sons to ensure you have the absolute best Series 99 material.

Only 89.95 Buy Now
Series 99 Exam Online Prep Software

Series 99 Exam Prep Software

Over 1000 questions    Works with all major browsers and mobile devices

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 99 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 99 exam.

Only 59.95 Buy Now
Series 99 Online Video Class

Series 99 Online Video Class

24 x 7 access for 6 months    Fully interactive

Our all new series 99 video class is hands down the best series 99 online class in the market today.
Shot in state of the art high definition with key concepts, tables and formulas displayed to highlight
test points for easy note taking. This video class walks you through all of the topics you need to know
to pass your exam. Our videos follow our books chapter by chapter and topic by topic. This video class details all of the concepts being tested and will let you know exactly how they are being tested on the exam. Our series 99 video brings all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 99 video class is the perfect companion to our textbooks and a great supplement to any study program to help you master the material for your exam. Our series 99 video features include:

  • 1) 13 hours of HD video broken into 11 sections
  • 2) Over 4 hours on brokerage office procedures, back office operations and rules and regulations
  • 3) Our videos are accessible on all devices ( all computers, phones and tablets)
  • 4) Our series 99 video class contains new test tips and details exactly what topics are being tested and how they are being tested
  • 5) Our series 99 video course follows our books chapter by chapter and topic by topic
  • 6) 11 Chapter Tests
  • 7) Instant unlimited access 24X7 for 6 months
Only 99.00 Buy Now

Series 99 Mobile Ebook

IOS     Android     Kindle FIRE HD     Kindle FIRE HDX     Nook HD     Nook HD +

If you want to access your material on the go, this is the study solution you have been waiting for. Our Wiley Series 99 Mobile Review is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Students preparing for the Series 99 exam may study online or via a downloadable app for your smartphone or tablet. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach.

If you want to make notes in the mobile version - no problem - you may create highlights, take notes, write down questions, and reminders.

Want to see what other students are doing? Then join a study group and share highlights, notes, questions, test tips and ideas with each other.

Only 89.95 Buy Now

Series 99 Textbook & Exam Prep Software

Purchase both the Textbook and Exam Prep software - all in one package. This is one of our more popular deals and includes:

  • Series 99 Textbook
  • Series 99 Practice Exam Software
  • Free Shipping
Only 124.95    Buy Now

Series 99 Complete Self Study Solution

The whole shebang! Purchase all the Series 99 products in one package and save big. If you are serious about passing the Series 99 exam, then this package is for you. It includes ALL of the following exam preparation products:

  • Series 99 Textbook
  • Series 99 Practice Exam Software
  • Series 99 Online Video Class
  • Series 99 Ebook
  • Free Shipping
Only 200.00    Buy Now