Securities Exam Preparation, Inc., established in 1972

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We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.
 
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SERIES 99 EXAM PRODUCTS

Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 99 Exam | Operations Professional Exam

This exam is not required for all back office personnel. The FINRA list of "covered persons" that must be registered essentially encompasses supervisors of client-facing back office functions, and persons who design and implement back-office operations and control systems. Clerical personnel, as are people who currently hold a Series 6 or Series 7 registration, are excluded/grandfathered from the requirement.

FINRA is requiring each member firm to identify its covered persons that must be licensed with the Series 99 by October 17th, 2011. These individuals then have 1 year to complete the exam.

100 Questions
2 1/2 Hours
$125.00 Test Fee

Number of Questions by Major Content

 
Section Major Content Area Number of Questions
1
 Basic Knowledge Associated with the Securities Industry
32
2
 Basic Knowledge Associated with Broker-Dealer Operations
48
3
 Professional Conduct and Ethical Considerations
20
Total Questions
100

Series 99 Exam Study Text


STUDY TEXT
$125.00

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This perfect-bound study program has 300+pages and four Chapters. Each chapter is divided into Key Sections followed by a quiz.   Four 100 point Final Exams complete the study program.  

 

Series 99 CD of Exam Questions


CD $75.00

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CD contains the 4 final exams (same as in the book).

 

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Study Book and CD of Exam Questions

$150.00

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Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in
self-study test preparation for  FINRA, NASAA, and futures industry exams -- and in registration services for
Investment Advisors, Broker Dealers, Commodity Trading Advisors, and Introducing Brokers.


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