Series 99 Top Off - Operations Professional

**SIE or an applicable license is a co-requisite to take this exam. Learn more about the SIE exam.

The Series 99 Operations Professional is for anyone in the FINRA list of "covered persons" that must be registered. These are essentially supervisors of client-facing back office functions, and persons who design and implement back-office operations and control systems. Clerical personnel are excluded from the requirement. Also remember that anyone who currently has a Series 6 or Series 7 license is grandfathered.

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