Series 99 Exam Details

The Essential Guide to the FINRA Series 99 Operations Professional Exam

This exam assesses an entry-level registered representative's knowledge and competency to perform critical operations professional functions. This includes client on-boarding; financial control; receipt and delivery of securities and funds; account transfers; and the collection, maintenance, reinvestment, and disbursement of funds.

Series 99 Exam at a Glance

Web Migration Image Library Business Professional

41335 KFE - BRD - Web Migration - Image Library - Teams - 6

50
Multiple-choice questions
1.5 Hours
Time Limit
68%
Passing score required to pass

More About the Series 99 Exam

Corequisites

Securities Industry Essentials (SIE) exam

Outline of Topics Covered

Knowledge Associated with the Securities Industry and Broker-Dealer Operations: 70%
Professional Conduct and Ethical Considerations: 30%

Best Practices Guide

Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.

Begin Preparing for the Series 99 Exam

Boost your exam readiness with Kaplan’s Series 99 study packages, featuring Essential and Basic options. From live instruction to flexible self-study, we provide the study tools and additional materials you need to pass.