Series 99: 1.2.1.5 Standing Settlement Instructions

Taken from our Series 99 Top-off Online Guide

1.2.1.5 Standing Settlement Instructions

For recurring transfer of funds or securities, you may enter standing settlement instructions (SSIs) that can be used each time a transfer request is made. SSIs contain registration and delivery instructions that will increase the speed of routine transactions and reduce the possibility of fraud. For purchase orders, the customer must specify whose name is to be on the security, as well as who will retain the security certificate. Following are some examples of delivery instructions:

• Transfer and ship. Upon purchase, securities are transferred into the name of the customer and shipped t

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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.

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