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