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Series 99 study guide

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Lessons

  1. Retail Registrations and Trading Authority
  2. Entity, Trust and Custodial Accounts — Free Study Guide 2026
  3. Institutional Accounts, Prime Brokerage and
  4. KYC, Account Updates, Disclosures and Eschea
  5. Customer Identification and Due Diligence
  6. Retirement Limits, RMDs and Rollovers — Free Study Guide 2026
  7. ACATS, Transfer Exceptions and Residuals
  8. Electronic Funds and Disbursement Controls
  9. Checks, Negotiability and Signature Guarante
  10. Currency Reporting and Cash Sweeps — Free Study Guide 2026
  11. Institutional Allocation, Affirmation and DV
  12. Clearing Providers and Continuous Net Settle
  13. Settlement Cycles and Repurchase Agreements
  14. DKs, Aged Fails, Buy-ins and Reclamations
  15. Complaints, Retention and Rule 4530 Reportin
  16. Operational Red Flags and AML Escalation
  17. Trusted Contacts and Vulnerable Investor Hol
  18. Communication Categories, Approval and Conte
  19. Soft Dollars and Mixed-use Allocation — Free Study Guide 2026
  20. Unregistered Persons and Compensation — Free Study Guide 2026
  21. Vendor Due Diligence and Record Access — Free Study Guide 2026
  22. Covered Securities, Tax Lots and Wash Sales
  23. Corporate Actions and Basis Adjustments
  24. Statements, Electronic Delivery and Nontrade
  25. Tax Forms and Required or Optional Withholdi
  26. Trade Confirmations and Debt Disclosures
  27. Control Locations and Customer Delivery Defi
  28. Good Delivery, DRS/DWAC and Restricted Secur
  29. Customer Securities and Segregation — Free Study Guide 2026
  30. Stock Records, Counts and Missing Certificat
  31. Current Records, Reconciliations and Electro
  32. Capital Standards and Early Warnings — Free Study Guide 2026
  33. Carrying Agreements and Allocated Responsibi
  34. Customer Reserve Formula and Daily Computati
  35. FOCUS Reporting and FINOP Responsibilities
  36. Net Capital, Allowable Assets and Haircuts
  37. Day Trading and the Intraday Margin Transiti
  38. Maintenance Calls and Collateral Calculation
  39. Initial Margin, Eligibility and Agreements
  40. Stock Loans and Customer Lending Protections
  41. Short Sales, Locates and SHO Closeouts — Free Study Guide 2026
  42. OBO/NOBO and Shareholder Communications
  43. Personal Information, Fiduciary Data and Rel
  44. Privacy Notices, Opt-outs and Exceptions
  45. Proxy Distribution and Voting Instructions
  46. Safeguards, Breach Response and Identity The
  47. Business Continuity Core Elements — Free Study Guide 2026
  48. Continuity Governance, Contacts and Disclosu
  49. WSPs, Inspections and Compliance Meetings
  50. Control Testing, CEO Certification and Acces
  51. Capacity, Fair Prices and Best Execution
  52. Trade Corrections and Error Accounts — Free Study Guide 2026
  53. Trade Reporting and Order Records — Free Study Guide 2026
  54. Trading Abuse, Breakpoints and Profit Sharin