The FINRA® Series 99, Operations Professional Exam assesses the competency of an entry-level registered representative to perform their job as an operations professional and measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an operations professional, including client on-boarding; financial control; receipt and delivery of securities and funds and account transfers, and collection, maintenance, reinvestment and disbursements of funds.
Corequisites: Securities Industry Essentials (SIE) exam
Exam Format: 50 multiple-choice questions
Exam Duration: 1 hour, 30 minutes
Outline of Topics Covered (with % of topics covered on exam):
- (F1) Knowledge Associated with the Securities Industry and Broker-dealer Operations 70%
- (F2) Professional Conduct and Ethical Considerations 30%
The full Series 99 course is updated and available. This course is designed for self study prep and will enable you to pass the SERIES 99 Exam on the first try.
FULL SUPPORT IS INCLUDED
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