Saturday, April 20, 2013



This is a very good resource for Series 99 exam facts!  At http://www.examfacts.com they have an excellent study guide filled with basic exam facts for the Series 99 exam.  The book is also available at Amazon.com


Example Questions from the Exam Facts 99 Book:



Institutional Sales Literature and Correspondence
No need if preapproved; Keep records for 3 years


BCP (Business Continuity Plan) must be reviewed
Annually


FINRA says that BCP plan must mention what number of emergency contacts minimally?
2 (1 person must be a member of Senior management and Registered Principal).


FINRA retains jurisdiction of a registered person (Form U4) for how long?
2 years; if person leaves the industry and comes back in 2 years then no need to re-register


When a RR leaves the firm the firm is required to notify FINRA in what time period?
30 days via Form U5