Series 99 Top-off Operations Professional Exam Study Program
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 Series 99 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 study book has Key Chapters. Each chapter is divided into Key Sections followed by a quiz. Final Exams complete the study program.
The Printed Materials program covers:
- Customer Accounts
- Professional Conduct
Six simulated Final Exams with detailed explanations complete the program.
Over 250 pages, with over 400 simulated examination questions with detailed explanations.