Series 99 On-Demand Lecture

$166.00

Available for 90 days 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.

1. About the Series 99

2. Overview of Regulation

3. Regulatory Requirements for Member Firms

4. Registration and Regulation of Broker-Dealer Employees

5. Equities and Derivative Securities

6. Fixed-Income Securities

7. Investment Companies and Alternative Products

8. Client Accounts

9. Overview of Clearing

10. Order Processing and Trading Markets

11. Cashiering

12. Margin

13. Custody and Corporate Actions

14. Record Keeping and Financial Responsibility

15. Retirement and Education Savings Accounts

16. Annuities and Direct Participation Programs