All Courses

Classes you can count on,
instructors you can trust

Series 99 Top-Off: Operations Professional Exam

Prepare for the new Series 99 Top-Off Exam with Knopman Marks’ industry-leading training package. Changes to the Series 99 Exam made in 2018 with the rollout of the SIE Exam are reflected in all course materials. Our package includes comprehensive study materials and the ability to ask questions day and night, evenings and weekends. Study with confidence and walk into your exam equipped with the knowledge you need to pass the first time around.

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

FAQ'S