With the introduction of the SIE exam, we want you to prepare with the right study materials. In order to determine which exam preparation products you need, we need some additional information. Click on the choice that applies to your plans for taking your Series 99 exam.
If your sponsoring firm opened your exam window before the SIE effective date of October 1, 2018, then our Series 99 exam preparation products are right for you.
If your sponsoring firm opens your exam window on or after the SIE effective date of October 1, 2018, you will need to take the SIE portion of the exam, followed by the revised Series 99 qualification “Top-off” exam. Browse exam prep packages below:
If you are not yet sponsored by a firm for your Series 99 exam, Kaplan recommends you first purchase the SIE exam preparation materials, as all new candidates are now required to pass the SIE exam and the revised Series 99 qualification “Top-off” exam prior to becoming registered.