FINRA Series 99 Representative Level Exam Prep Training Course & Study Materials
Prepare for your FINRA Series 99 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
FINRA Series 99 Representative Level Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, taking notes, or live instruction, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
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TEXTBOOK PACKAGE
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Hard-Copy Textbook
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Personalized Study Plan
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Best Practice Guide
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Practice Question Sets
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Benchmark Final
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Standard Final Exams
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Custom Exam Generator
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Phone Instructor Support
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Glossary and Acronyms
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Real-Time Content Updates
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Report Center
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On-Demand Video Lectures
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Checkpoint Exams
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eBook
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SpotCheck Quizzes
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Online Instructor Support
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Online Flashcards
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Live Focused Webinars
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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
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Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
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Exam Center
Access practice exams that mimic the actual exam. Test at multiple levels to gauge your knowledge level, identify areas needing improvement, and identify your level of readiness for exam day. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
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50
Multiple-Choice Questions
1h 30m
Time to Complete
68%
Passing Score Required
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$60
Exam Cost
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).
Function 1: Knowledge Associated with the Securities Industry and Broker-Dealer Operations
- Account Opening and Maintenance
- Types of accounts: retail, institutional, prime brokerage
- Account registrations: individual, corporate, retirement
- Customer identification program (CIP) and KYC requirements
- Account disclosures and escheatment processes
- Cashiering and Account Transfers
- Fund movement methods: wires, ACH, journals
- ACATS vs. non-ACATS transfers
- Check handling and prohibited activities (e.g., check kiting)
- Custody and Control of Securities
- Safekeeping, segregation, and box counts
- Securities transfers and handling lost certificates
- Stock legends and negotiability
- Trade Reporting and Corrections
- Trade reporting systems and best execution
- Error accounts and trade corrections
- Prohibited trading practices (e.g., front running, churning)
- Margin and Stock Loan/Securities Lending
- Margin requirements and documentation
- Short sale requirements and securities borrowing
- Day trading and buying power
- Settlement
- Trade comparison and settlement methods
- DK trades, buy-ins, and closeouts
- DVP settlement and clearing arrangements
- Account Statements and Confirmations
- Statement and confirmation content and delivery
- Tax reporting and cost basis
- Prohibited pricing activities
- Regulatory Financial Requirements
- FINOP responsibilities and FOCUS reports
- Net capital and reserve formula calculations
- Books and Records
- Reconciliations and posting timelines
- Record retention and electronic storage
- Prohibited recordkeeping practices
Function 2: Professional Conduct and Ethical Considerations
- Relationships and Dealings
- Communication methods and vendor due diligence
- Soft dollars and commission restrictions
- Customer Privacy
- Confidentiality and information sharing
- Privacy rules and Red Flags Rule
- OBO vs. NOBO disclosures
- Escalating Complaints and Red Flags
- Identifying and escalating complaints
- Reporting requirements and verification procedures
- Broker-Dealer Supervision and Control
- Segregation of duties and information barriers
- Written supervisory procedures (WSPs)
- Business continuity planning and customer disclosures
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Bundled SIE + Series 99
Prepare for both the SIE and Series 99 Exams with our comprehensive online training program bundle. This streamlined experience combines two exam prep trainings into one, offering the most efficient and effective solutions to master difficult concepts and build the confidence to pass your exams on the first attempt. Study for the SIE and Series 99 Exams together through a learning path that blends topics into logical, connected discussions, rather than treating each exam separately, saving both time and money. Explore a variety of study packages tailored to fit every learning preference and budget.
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