The Series 99 exam — the Operations Professional Exam — assesses the competency of an entry-level registered representative to perform their job as an operations professional.
The Series 99 exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an operations professional, including client on-boarding; financial control; receipt and delivery of securities and funds and account transfers, and collection, maintenance, reinvestment and disbursements of funds.
Please see FINRA Rule 1230(b)(6) Operations Professional for more information.
Effective October 1, 2018, candidates must pass the Securities Industry Essentials (SIE) exam and a revised Series 99 exam to obtain the Operations Professional registration. For more information about the SIE and Series 99 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(3).Scroll To View Full Catalog