Series 99: 2.5 Taxation Of Equity And Debt Securities

Taken from our Series 99 Top-off Online Guide

2.5 Taxation of Equity and Debt Securities

A customer’s tax rate can be critical in evaluating a customer’s portfolio and making suitable recommendations for her. In this section, we will summarize pertinent tax rules and good practices.

When a customer sells securities, there are tax consequences. The consequences that arise depend primarily on the kinds of securities that were purchased and the length of time they were held. When a customer sells a corporate security, the customer can realize either a gain if the security appreciated in valu

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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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