Securities Exam Prep Series 99
FINRA Series 99 Exam Prep
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Series 99 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.
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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).
VIEW FINRA SERIES 99 EXAM CONTENT OUTLINE
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:
- Knowledge Associated with the Securities Industry and Broker-dealer Operations (70%)
- Professional Conduct and Ethical Considerations (30%)
See below for a more detailed breakdown or visit FINRA.
Function 1: Knowledge Associated with the Securities Industry and Broker-Dealer Operations
- Accounts Opening and Maintenance
- Cashiering and Account Transfers
- Custody and Control of Securities
- Trade Reporting and Corrections
- Margin and Stock Loan/Securities Lending
- Account Statements and Confirmations
- Regulatory Financial Requirements of Broker/Dealers
- Books and Records
Function 2: Professional Conduct and Ethical Considerations
- Relationships and Dealings with Customers, Vendors and Associated Persons of the Firm
- Customer Privacy
- Importance of Escalating Complaints and/or Potential Red Flags
- Broker/Dealer Supervision and Control
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.
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