Series 99 Top-Off Exam Training

Series 99 Top-Off Exam - Operations Professional 

Effective October 1, 2018, candidates must pass the Securities Industry Essentials (SIE) exam and a revised Series 99 exam to obtain the Operations Professional registration. 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.

SIE is a co-requisite Exam | $ 40 Test Fee (Form U-4)  | 50 questions | 90 minute time limit | 68% to pass

 

Section Description Points
1 Knowledge Associated with the Securities Industry and Broker-dealer Operations 35
2 Professional Conduct and Ethical Considerations 15
  ***Total Points*** ***50***

 

Series 99 Operations Professional Top-Off Exam Study Products

Series 99 Exam Study Book

The Series 99 exam the Operations Professional Exam assesses the competency of an entry-level registered representative to perform their job as an operations professional.

The Series 99 exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an operations professional, including client on-boarding; financial control; receipt and delivery of securities and funds and account transfers, and collection, maintenance, reinvestment and disbursements of funds.

The Printed Materials program covers:

  • Customer Accounts
  • Professional Conduct

Six simulated Final Exams with detailed explanations complete the program.

Over 250 pages, with 400+ simulated examination questions with detailed explanations!

 

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 $ 85.00

The 99 Data Bank:                 

When used with the study book, the Series 99 DATABANK  is a convenient and effective method of testing overall comprehension of the material. The DATABANK 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 see is unique. All of the tests are weighted in the same manner as the material in the actual exam.

Under the terms of the PassPerfect End User Licensing Agreement, each product is licensed to a single user and can be used for up to 1 year or until they pass the exam, whichever comes first.

 

The Series 99 Top-Off Exam Study Book

The Series 99 exam the Operations Professional Exam assesses the competency of an entry-level registered representative to perform their job as an operations professional.

The Series 99 exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an operations professional, including client on-boarding; financial control; receipt and delivery of securities and funds and account transfers, and collection, maintenance, reinvestment and disbursements of funds.

This perfect-bound study program has Key Chapters. Each chapter is divided into Key Sections followed by a quiz. Final Exams complete the study program.

 

The Series 99 Top-Off Online Databank of Final Exams

When used with our Printed Materials, the Series 99 DATABANK of Final Exams is a convenient and effective method of testing overall comprehension of the material.  The DATABANK  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 the student sees is unique. All of the tests are weighted in the same manner as the material in the actual exam.
.
Under the terms of the PassPerfect End User Licensing Agreement, each product is licensed to a single user and can be used for up to 1 year or until they pass the exam, whichever comes first.