You have worked through the whole book. This chapter is the condensed version of all of it: every unit boiled down to the must-know facts, the numbers to memorize, and the gotchas the exam loves to test.
Think of it as the rapid-fire recap at the end of each podcast, gathered into one place for the days right before test day.
How to Use It
- In your final week, read one or two review units a day, then close the tab and see how much you can recall.
- The morning of the exam, skim the "Which Numbers Matter Most?" tables and the gotchas in each section. The Series 99 rewards precise timing (posting deadlines, close-out clocks, retention periods), so that is where points are won and lost.
- Pair it with a Practice Exam. Anything the review sheet reminds you that you forgot is a signal to run a Custom Quiz on that unit.
This is a recap, not a first pass. If a section shows you a topic you have never seen, go back to the full unit and study it properly before relying on the cram sheet.
The Whole Book on One Page
Short on time? The One-Page Cheat Sheet condenses every unit to a single line. Read it top to bottom the night before and the morning of your exam.
What's Inside
FINRA splits the Series 99 into two job functions. Broker-dealer operations carries 35 of the 50 scored items, so that is where your final days should live.
| Review Unit | Covers | Weight |
|---|---|---|
| Broker-Dealer Operations | Account opening, cashiering, custody, trade reporting, margin, settlement, statements, financial requirements, books and records | 70% |
| Professional Conduct and Controls | Relationships and dealings, customer privacy, escalation, supervision and controls | 30% |
Broker-Dealer Operations is 35 of the 50 scored items and nine of the thirteen units. If you have limited time, start there.