Series 99
Series 99
The Series 99 exam — the Operations Professional Exam — is required for supervisors of client-facing back office functions and those who design and implement back office operations and control systems. It covers securities industry and broker dealer operations, as well as professional conduct and ethical considerations.
50 Questions
1h 30m
68%
68%
Requisites
Corequisites
Topics
- Basic functions of an operations professional
- Customer onboarding
- Management and distribution of funds
- Loans and securities lending
- Reinvestment and disbursements of funds
Retake Wait Periods
After the first or second time a candidate fails the Series 99 exam, there is a mandatory 30 day waiting period before they can take the exam again. After the third (and subsequent) fails, the waiting period increases to 6 months. The $100 exam fee applies each time they take the exam.
What’s Next
Upon successfully passing the Series 99 exam, professionals in the field can register with FINRA and work in many complex financial business areas, such as debt/equity offerings, mergers and acquisitions, tender offers, and more.
Prep Package
Be confident, fully prepared, and ready to pass.
As a relatively new exam, introduced in 2011, people may easily underestimate Series 99. And if you have years of experience, but haven’t studied for anything in quite awhile, it can be tough to trust your instincts during a test. You need a prep course that can promise you’ll pass. Over $200 Value!
Looking for Study Aids?
We offer resources and materials to help get you prepped and confident.
With Us You Can
Study Smarter
Retention Over Memorization
We’ll provide you with in-depth content and practice questions that mimic the actual test — so there are no surprises come exam day.
Shorten Your Study Time
Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.
Customize Your Studies
Delivering content based performance to help you move on from concepts you’ve mastered and going deeper into ones you haven’t.
Virtual, Online Classes
Led by industry experts, providing students with pertinent securities exam essentials and the knowledge needed to successfully pass.
Course Material
Your Ultimate Resource
We have created the ultimate resource to help ensure you pass — the first time. Developed by experts in FINRA licensing, our coursework incorporates everything you need to know to successfully take this important step in advancing your career.
Multi-level Assessments
Includes Quick Quizzes at the topic level.
Chapter Video Lectures
Created by expert Instructors, aligned with the book’s content.
Animated Videos
Reinforcing key concepts and test-taking strategies with simulated exam questions.
Scored and Graded Assessments
Check Your Understanding, Chapter Exams, Mid-Term Exams, and Fixed Final Exams.
Clear and concise course material
Increased efficiency in learning, allowing more time for Final Practice Exams.
Intuitive & Modern User Interface
Our LMS allows you to engage easily and keep careful track of your progress, so you can focus on learning.
