FINRA Series 99: Operations Professional Exam

The Series 99 Exam is required of individuals who participate in the Operations functions of a Broker Dealer, as defined by FINRA Rule 1230.

The 2.5 hour exam consists of 100 questions and requires a 68% to pass.

Package Contents

All Knopman Marks packages include:
  • Series 99 License Exam Manual
  • Question Bank for online exams, including 1000 practice questions
  • Various Supplements
  • Access to an instructor
  • Access to My Knopman

Click here to view the Exam Content Outline

Select Your Course Packages

Select the packages you would like to purchase and enter the quantity of each item. When you are finished, click the "Add To Cart" button at the bottom of the form.

Live Classroom Package

  • 2 Day Live Classroom Training
  • Material & Exams are included
  • NYC-based class

View Schedules >

On-Demand Training Package

  • Access to Knopman Internet Training "The KIT"
  • Over 5 hours of instruction
  • Mobile App includes On-Demand Training videos

Learn More >

Purchase Both

(All with Materials)


$190.00 Add-on

Have you previously purchased either Live Classroom or Knopman Training Package? Log in and add the other for $190.00.

Basic Package


Video Lectures Only

  • Access Knopman's complete Series 99 online lectures
  • Over 5 hours of On-Demand instruction
  • Watch anywhere and anytime on your computer or an iPhone or iPad
  • Material & Practice Exams are NOT included with this purchase

Learn More >

Digital Flash Cards

  • Access Knopman's complete Series 99 flashcards - over 450 in total - available online & through the Knopman App
  • Test and challenge yourself on the examination's most important concepts
  • Retain and memorize the details required to pass the exam
  • Plus, they are fun and easy to use!
  • Material & Practice Exams are NOT included with this purchase

Learn More >

No Exam Info

  • Knopman Marks students have unlimited access to classes for 1 year.
  • If these dates do not fit your schedule, instruction can also be provided on a private basis.