A customer’s tax rate is critical in evaluating their portfolio and making suitable recommendations. In this video lecture for the Series 99 exam, you will learn tax rules and good practices related to the taxation of equity and debt securities.

Understanding the taxation of equity and debt securities is an important part of passing the Series 99 exam. This topic falls within “Function 1” on the FINRA Series 99 content outline: “Knowledge Associated with the Securities Industry and BrokerDealer Operations” (35 out of 50 questions on the exam). Function 1 includes essential product and market knowledge for an operations professional and knowledge regarding the operations functions that support a brokerdealer’s business.

This Solomon Series 99 Video Lecture sample covers the following topics:

0:00 Definitions
0:54 Capital Gains and Losses
3:35 Using Losses to Offset Gains
4:28 Example Question
5:42 Taxing Cash Dividends, Stock Dividends, Stock Rights, and Exchange of Securities
6:35 Inherited and Gifted Securities
8:00 Wash Sale Rules
8:58 Charitable Donations of Securities
9:26 Taxation of Bonds

The complete 3hour Solomon Series 99 Video Lecture highlights the most important and heavilytested exam topics. The lectures are taught by Solomon professors and peppered with practice questions to help you apply the concepts you’re learning to realworld situations. Solomon video lectures also come with downloadable PowerPoint slides for easy notetaking and review. Once purchased, the videos are viewable ondemand for a 180day subscription period. Video Lectures are viewable through the Solomon website and can be accessed via computer, mobile device, and the Solomon Exam Prep app.

The Series 99 Video Lecture can be purchased individually or as part of the Series 99 Video Premium Package.

Explore all Solomon Series 99 study materials on our website here:
https://solomonexamprep.com/series99/
 
Do you have any questions, tips, or ideas about the Series 99 exam or taxation of equity and debt securities? Let us know in the comments section below! 
 
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Solomon Exam Prep creates innovative resources for securities exam preparation. Solomon has helped thousands of finance and securities professionals pass their FINRA, NASAA, MSRB and NFA licensing exams including the SIE and the Series 3, 6, 7, 14, 22, 24, 26, 27, 28, 50, 51, 52, 53, 54, 63, 65, 66, 79, 82 and 99.  

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