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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.

Course Includes:

  • 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

Content Outline:

View the Series 99 Content Outline

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