Series 99 Exam Details

The FINRA® Series 99, Operations Professional Exam assesses the competency of an entry-level registered representative to perform their job as an operations professional and measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an operations professional. This includes client on-boarding; financial control; receipt and delivery of securities and funds and account transfers; and collection, maintenance, reinvestment, and disbursement of funds.

 

Securities Industry Essentials (SIE) exam

50 multiple-choice questions

1 hour, 30 minutes

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.

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Begin Preparing for the Series 99 Exam

BasicPlus Package

OnDemand Online Class

The BasicPlus Self-Study Package allows you to study through guided instruction on a schedule that works best for you. Plan your study time with a customizable study calendar and access OnDemand videos with Class Notes during recommended times throughout your study program.

Basic Package

Self-Study Option

The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Calendar based on your schedule and exam date.