Series 99: 3.2.4.3 Margin Department

Taken from our Series 99 Top-off Online Guide

3.2.4.3 Margin Department

• Oversees extension of credit to customers
• Monitors customers’ margin accounts
• Makes sure that short sales and margin purchases are covered by enough funds in the account according to the requirements of the Federal Reserve an

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 3.2.4.3 Margin Department, you might also be interested in:

Series 65 - 2.12.2 Collateralized Mortgage Obligations

Series 82 - 3.2.2.2. Liquidation

Series 53 - Out-Firm Quotes

Series 24 - Defined Contribution Plans

Series 65 - 1.5.1.1.3 Interest Rate Risk

Series 65 - Accrued Interest

Series 24 - Chapter 4 Practice Question Answers

Series 65 - 1.1.1.1 Important Leading Indicators

SIE - 9.2.3. No Trading Ahead of Customer Orders

Series 7 - 14.2.4. Prime Brokerage Accounts

Series 52 - MSRB Registration

Series 14 - 2.1.3. Third Market

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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

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 loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

Katrina Jackson, Cambridge Investment Research, Fairfield, IA

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

Just passed the Series 24 on my first attempt. Not an easy exam so put the time in. I used the Video Lectures and the Exam Simulator from Solomon. Great resources of information!

Shawn McClain, Natixis, Charlotte NC