Quick Answer
This course prepares Operations Professional candidates for the Series 99 examination through 13 outline-aligned units covering broker-dealer account operations, custody, settlement, records, privacy, escalation, and supervision. The Series 99 requires the Securities Industry Essentials exam and is designed for entry-level registered operations professionals.
The Course Map
| Chapter | Focus |
|---|---|
| 1. Broker-Dealer Operations | Account opening, transfers, custody, trade corrections, margin, settlement, statements, financial controls, and records |
| 2. Professional Conduct and Controls | Dealings, privacy, complaint escalation, red flags, supervision, and control design |
The Exam at a Glance
- Questions: 55 total, including 50 scored items and 5 unscored pretest items
- Time: 90 minutes
- Passing score: 68%, or 34 correct scored items
- Format: Four-option multiple choice
- Corequisite: Securities Industry Essentials (SIE) examination
- Registration: Sponsorship through a FINRA member firm or other applicable SRO member firm
A Practical Study Loop
- Watch the unit's videos and listen to its podcast.
- Take the unit's Study Quiz and run its Flashcards before you read.
- Read the Learn material and mark each section complete.
- Repeat the Study Quiz and Flashcards, then move forward.
- After the first pass, take a full Practice Exam every week to find the highest-value gaps.