Series 99 Securities Exam – Securities License Exam Preparation

Series 99 Securities Exam – Operations Professional Exam

This Series 99 Securities Exam is not required for all back office personnel. The FINRA list of “covered persons” that must be registered essentially

compasses supervisors of client-facing back office functions, and persons who design and implement back-office operations and control systems. Clerical personnel, as are people who currently hold a Series 6 or Series 7 registration, are excluded / grandfathered from the requirement.

$130 Test Fee | 100 questions | 2.5 hour time limit

Test Topics & Approximate Test Questions

Section Description Points
1 Basic Knowledge Associated with the Securities Industry 32
2 Basic Knowledge Associated with Broker-Dealer Operations 48
3 Professional Conduct and Ethical Considerations 20
***Total Points*** ***100***

Series 99 Operations Professional Exam Study Products

Series 99 – Exam Study Book

$125.00 Add

This perfect-bound study program has 300+pages and four Chapters. Each chapter is divided into Key Sections followed by a quiz.

Five 100 point Final Exams complete the study program.

Study Book for Series 99

Study Book for Series 99

Series 99 – DATABANK of Final Exams

$85.00 Add

When used with our Printed Materials, the web based Series 99 DATABANK Practice Exams software is a convenient and effective method of testing overall comprehension of the material.

Using the DATABANK Practice Exams software helps to ensure a full and complete understanding of the material by presenting practice questions of similar complexity to that of the real exam.

  • The program consists of 5 Final Exams drawn from the major topics found on the actual exam.
  • Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.
  • No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question you sees is unique.
  • All of the tests are weighted in the same manner as the material in the actual exam.

System Requirements:

Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

DATABANK for Series 99

DATABANK for Series 99

Supported browsers on Windows or Mac OS:

  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)

Series 99 – Exam Study Book + DATABANK of Final Exams

$150.00 Add

Exam Study Book

This perfect-bound study program has 300+pages and four Chapters. Each chapter is divided into Key Sections followed by a quiz.   Five 100 point Final Exams complete the study program.

DATABANK of Final Exams

When used with our Printed Materials, the web based Series 99 DATABANK Practice Exams software is a convenient and effective method of testing overall comprehension of the material.

Using the DATABANK Practice Exams software helps to ensure a full and complete understanding of the material by presenting practice questions of similar complexity to that of the real exam.

  • The program consists of 5 Final Exams drawn from the major topics found on the actual exam.
  • Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.
  • No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question you sees is unique.
  • All of the tests are weighted in the same manner as the material in the actual exam.

DATABANK and Study Book for Series 99

DATABANK and Study Book for Series 99

System Requirements:

Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

Supported browsers on Windows or Mac OS:

  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)

NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.