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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.
- Series 99 Textbook (Physical & Electronic Versions)
- Online & Printable Practice Exams
- 5+ hrs of Video Lectures
- Online Flashcards
- Downloadable Class Supplements
- Personal Instructor Support
About the Exam:
Number of Questions: 100 graded questions (plus 10 ungraded experimental questions).
Exam Structure: 1 session covering all topics. All questions are multiple choice.
Time to Complete: 2 hours and 30 minutes
Passing Score: 68%
Recommended Study Time: 50-100 hours
Content Outline: http://www.finra.org/sites/default/files/Industry/p124124.pdf
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On the morning of your exam, plan on arriving at the testing center at least 30 minutes prior to your scheduled start time. You should bring with you government issued identification (e.g. driver's license or passport). Make sure the last name on your I.D. is the same as your last name on your registration form with your firm. Also make sure you don't bring expired I.D. You will be required to leave all your personal articles in a locker outside the testing room. The testing center will provide you with a scratch pad, a pen or marker, and a basic four function calculator. You are not permitted to bring anything else into the actual testing room.
The exam is administered via the FINRA PROCTOR system at Prometric testing centers.
Yes, we can work with you on the evenings and weekends. Please contact our office as far in advance as possible to schedule.