Series 99 Securities Exam – Securities License Exam Preparation

Series 99 Securities Exam – Operations Professional Exam

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 | $50 Test Fee (Form U-4) | | 50 questions | 90 minute time limit | 68% to pass

Test Topics & Approximate Test Questions

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 Exam Study Products

Series 99 Exam Study Book

Study Book for Series 99

Study Book for Series 99

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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.

DATABANK for Series 99

DATABANK for Series 99

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Series 99 – DATABANK of Final Exams

When used with our Printed Materials, the 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 the student sees is unique. All of the tests are weighted in the same manner as the material in the actual exam.

Anyone using Printed Materials will improve their scores with DATABANK Practice Exams.

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)

Series 99 – Exam Study Book + DATABANK of Final Exams

DATABANK and Study Book for Series 99

DATABANK and Study Book for Series 99

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Series 99 – Exam Study Book + DATABANK of Final Exams

For those that like the advantage of a reference text plus taking exams in a computer environment, the book and the CD is a great combination.  Review your manual first and then top-off your study with the CD practice questions!

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.