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FINRA Series 99 Top-off Exam Prep & Study Materials
Knopman Marks is here to help! Our Series 99 Top-Off Exam package offers best-in-class training, access to our instructors, a mobile app, downloadable class supplements and more! We layout the exact steps you need to follow and provide the tools to support you along the way.
This exam is a requirement for persons who supervise or manage the operations functions of broker-dealers including client on-boarding, accounting, technology and information systems.
- Textbook (Physical & Electronic Versions)
- Online & Printable Practice Exams
- 6 hours of Video Lectures (8 Lessons)
- Over 250 Digital Flashcards
- Mobile App for offline training (iPhone & iPad)
- Downloadable Class Supplements
- Personal Instructor Support
New Series 99 Curriculum:
- Lesson 1: The Business of a Broker-Dealer
- Lesson 2: Securities Markets
- Lesson 3: Customer Accounts
- Lesson 4: Opening & Maintaining Customer Accounts
- Lesson 5: Customer Securities and Funds
- Lesson 6: Regulation of Customer Accounts
- Lesson 7: Trade Execution and Settlement
- Lesson 8: Professional Conduct and Ethical Considerations
About the Exam:
- Number of Questions: 50 graded multiple-choice + 5 ungraded questions
- Time to Complete: 1 hour and 30 mins
- Passing Score: 68%
- Co-requisite: SIE Exam
- Recommended Study Time: 40 to 60 hours
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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.
Learn more about the exam process from FINRA here.
You can schedule your exam yourself or with your firm's compliance department after your firm has opened an exam window. The actual exam is administered at Prometric testing centers via the FINRA PROCTOR system. You can check test site availability and locations at the Prometric website.
Assuming you are working full time while preparing for the examination, you should allow yourself three to four weeks to read through the material and another two to four weeks to complete practice exams. You should attend the live class, watch the online video lectures or receive private instruction while you are reading the material or immediately after reading the material.
Proper prepartion, however, always varies from student to student, based on their background, ability to find study time, and general disposition for memorization and test-taking.