Series 99: FTC Red Flags Rule

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term FTC Red Flags Rule...

a rule established by the Federal Trade Commission that requires broker-dealers, investment advisers, and investment companies to establish and maintain identity theft programs. Under the terms of the rule, these programs should be set up to detect the warning signs of identity theft present in a firm’s day-to-day operations.

+ 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: FTC Red Flags Rule, you might also be interested in:

Series 53 - optional tender

Series 7 - ask price

Series 52 - municipal advisors

Series 50 - installment purchase agreement

Series 26 - proxy statement

Series 27 - Currency Transaction Report (CTR)

Series 50 - “low-to-high” advance refunding

Series 99 - Regulation S-ID

Series 7 - Transfer Initiation Form (TIF)

Series 7 - collateralized loan obligation (CLO)

Series 66 - Securities Investor Protection Corporation (SIPC)

Series 6 - third-party trustee

Series 99 - buying power

SIE - ex-dividend date

Series 3 - not held market order

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.

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

Passed the SIE on the first try. Solomon Exam Prep is definitely the way to go. Just follow your study guide. The practice exams are where Solomon truly shines. I will certainly be using Solomon for the Series 7.

Brandon Collins, Benchmark. Memphis, TN

I studied about 30 hours for the series 82 and passed with the help of the resources provided by Solomon Exam Prep. This company was very responsive with my questions and encouraging. I think they saved me at least 20 hours with their guide... I am very happy.

Matthew Khalili, Whyte & Co, Los Angeles, CA