Series 99 Exam Prep Training

Series 99 securities prelicensing program

FINRA Series 99 Exam Prep

ExamFX has created a comprehensive online Series 99 training program to ensure candidates are prepared to pass their qualification exam on the first attempt.


Register Now Organization Discounts Available Contact your referring manager or recruiter for information on how to access your organization's portal.

Series 99 Training Package Information

We offer a flexible solution and package designed to help candidates pass their Series 99 exam. Our training provides a variety of helpful study tools that prepares candidates for success.


90 Days Course Access
Interactive Learning Portal
Chapter Quizzes
Practice Exams
Readiness Exam
Instructor Support
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What is the Series 99 exam?

The Series 99 exam assesses the ability of an entry-level Registered Representative to perform their job as an operations professional. In order to obtain a Series 99 registration, candidates must pass the Operations Professional Exam administered by the Financial Industry Regulatory Authority (FINRA).

About the Series 99 Exam

What are the topics covered on the Series 99 Exam?

FINRA has classified the exam into two main job functions an Operations Professional is expected to perform. Based on the outline, the job functions are:

See below for a more detailed breakdown or visit FINRA.

Function 1: Knowledge Associated with the Securities Industry and Broker-Dealer Operations

Function 2: Professional Conduct and Ethical Considerations

FINRA Series 99 Exam Details

The Series 99 exam consists of 50 multiple-choice questions. Candidates will be given 1 hour and 30 minutes to complete the exam and must achieve a 68% to pass. The cost of the exam is $40.

What is the ExamFX Readiness Exam?

ExamFX is so confident in our training program that we guarantee users who successfully complete the Readiness Exam will pass their licensing exam on their first attempt! If you do not pass your licensing exam within three days after scoring 80% or higher on the Readiness Exam, we will refund the cost of your course. It is that simple. Some restrictions may apply.