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FINRA Series 99 Top-Off Exam Prep & Study Materials
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Want to walk into your Series 99 Exam with confidence?
We’ve got you covered.

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 lay out 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.

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Series 99 Top-Off: Operations Professional Exam
Series 99 Top-Off Exam Prep Course
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What’s Included
Our comprehensive course includes everything you
need to study:
6+ Hours of Video Lectures
Access to our Training Center
Benchmark Exam
Digital Flashcards
Downloadable Supplements
iOS Mobile App to Study Offline
Online Question Bank
Client Success Team Support
And everything you need to truly succeed:
Access to the online Training Center, your digital study hub full of proprietary KM study guides, videos, and more
Real-time email updates from instructors with last-minute tips and nudges exactly when you need them
Proactive ongoing check-ins from our expert team
Easy-to-follow action plan with clear-cut guidance and suggested next steps
Demo the training center

Take a test drive of our Training Center--the place for all your course materials, video lectures, and supplements. You can use the Action Plan to keep you focused, track your progress, and sign up for Live Training if offered.

Our whole team is with you...

We put together a team of the most knowledgeable instructors, coaches, and staff for each course that will keep you on track and meeting your goals. They’re with you every step of the way.

Client Success Captain
Onboarding Specialist
Data Lead
Series 99 Top-Off Course Curriculum
Lesson 1
Intro & The Business of a Broker Dealer
Lesson 2
Securities Markets
Lesson 3
Customer & Tax-Advantaged 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
Lesson 9
Wrap Up
Lesson 10
Series 99 Flashcards (All Topics & Individual Lessons)
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Exam Details
About the Series 99 TOp-Off Exam
Exam Format
50 graded multiple-choice + 5 experimental, ungraded questions
1 hour and 30 minutes
Passing Score
Recommended Study Time
40 to 60 hours
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Series 99 Top-Off FAQ
What should I expect on the day of my exam?

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.

Where and when do I take the exam?

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.


What is the usual study time for the Series 99 Top-Off Exam for the typical student?

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 preparation, however, always varies from student to student, based on their background, ability to find study time, and general disposition for memorization and test-taking.

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