Series 99 Top-Off On-Demand Lecture

$159.00
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  • Available for 6 months from first use, with an option to purchase additional time in the future
  • Total program time is approximately 8 hours
  • Requires Internet connection, a streaming-video-enabled machine, and audio capabilities
  • Optimized for all recent browser versions. Internet Explorer 10 or above required. The latest version of Google Chrome is recommended for optimum load times.

Chapter list:

1. Customer Accounts
2. Clearing and Account Transfers
3. Trade Reporting and Correction
4. Cashiering and Settlement
5. Margin and Regulation SHO
6. Custody and Control of Securities
7. Account Statements and Confirmations
8. Record Keeping and Financial Responsibility
9. Customer Communication and Privacy
10. Broker-Dealer Supervision and Customer Complaints
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