Series 99: Exercise

Taken from our Series 99 Top-off Online Guide

Exercise

Answer the following questions.

1. At what point does correspondence become retail communication?
A. When performance information is quoted
B. When the recipient is a prospect and not a customer
C. When recipients exceed 25 retail investors
D. When it triggers a sale
2. Every member firm must develop appropriate written procedures for the review of which type of correspondence?
I. Non-electronic correspondence
II. Electronic correspondence
A. I only
B. II only
C. Both I and II
D. Neither I nor II

Answers

1. C. If a communication is distributed to more than 25 retail investors within a 30 day period, it is considered retail communication and

+ Read More

More Series 99 Info

What are people saying?

Create an Account

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

Series 3 - 1.3.4.4.5. Delivery Notice

Series 14 - 8.3.8. Discretionary Accounts

Series 50 - Defined Benefit Plans

Series 66 - More Options Terminology

Series 24 - Liabilities for False Communications

Series 24 - 3.1.1. New Client Account Form

SIE - Annuities

Series 65 - Exercise

Series 24 - 3.5.4. Registering Fund Securities

Series 7 - 6.1.7 Taxation of Mutual Funds

Series 26 - FOCUS Reports

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 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

Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.

Tom L., Atlanta, GA

I sat for the Series 66 on March 16th. I got an 85. I give all kudos to Solomon. The study materials were excellent.

William Crull, Metairie, LA

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN