Series 99: Form BD

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Form BD...

a form that a registrant must file with both FINRA and the SEC when applying for membership that identifies the type and nature of the applicant’s business and in what states it intends to operate.

+ Read More

More Series 99 Info

What are people saying?

Create an Account

We have an excellent Audiobook for the Series 99!

Since you're reading about Series 99: Form BD, you might also be interested in:

Series 3 - in the money

Series 65 - payout phase

Series 66 - sell stop order

Series 26 - death benefit

Series 82 - Trust Indenture Act of 1939

Series 65 - pass-through entity

Series 66 - assumed interest rate (AIR)

Series 51 - discretionary account

Series 27 - Office of Supervisory Jurisdiction (OSJ)

Series 7 - Supplemental Liquidity Provider (SLP)

Series 52 - expansionary fiscal policy

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

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 PASSED. A big thank you to Solomon Exam Prep for breaking down the material for the Series 65 exam into understandable information. I started my exam prep journey with another provider and their material was simply too wordy and full of unnecessary information. I switched to Solomon Exam Prep and the material was easy to follow and I PASSED. Thanks so much for being there for me.

Tammy Gladstone, State Farm Insurance, California, MD

I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY

I just passed the Series 63 and Series 6. I only have Solomon staff and exam prep material to thank. This has been a very challenging experience. Please do yourself a favor and buy Solomon Exam Prep materials. It's made me a believer and you will not regret it!

Dwight Lee, FFS, Los Angeles, CA, Series 6 and 63