Series 99 Operations Professional Qualification Examination
On October 17, 2011, FINRA released the Series 99 Operations Professional Qualification Examination. Individuals are required to pass this exam to register as an Operations Professional. The exam will assess a candidate’s understanding and basic knowledge of a broker-dealer’s business, the operations functions that support that business, and the rules and regulations that protect investors and ensure market integrity.
The Series 99 Examination consists of 100 questions with 2.5 hours provided to complete the exam. The exam covers three main content areas:
- Section 1: Basic Knowledge Associated with the Securities Industry (32 Questions)
- Section 2: Basic Knowledge Associated with Broker-Dealer Operations (48 Questions)
- Section 3: Professional Conduct and Ethical Considerations (20 Questions)
At Knopman Financial Training, a full study solution is Now Available. Our comprehensive study materials were developed by subject matter experts, and will allow our clients to achieve strong exam results.
The Knopman Series 99 Package includes:
- Series 99 License Exam Manual
- Online Question Bank with over 1,000 practice questions
- Access to an instructor
- Additional supplements
- Choice of Training: Live Classroom or Digital Training (includes Knopman Internet Training + the Knopman App)
For students seeking to prepare for the examination via a self-study solution, the price of the material is $190 per trainee. For students who are interested in the full package, which includes training, the price $379 per trainee. Both packages include study supplements and support from an instructor on a regular basis. Order Now
We also offer customized solutions to firms, including on-site classes during the day, evenings and/or weekends. Please contact Us to discuss a training strategy for your firm.