Series 99 License Practice Test
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Frequently Asked Questions
What is the Series 99 exam?
The Series 99 exam is a test for people who work in the operations department of a business that sells stocks and bonds. This test makes sure that workers understand the rules for handling money, keeping records, and following the law. It is often called the Operations Professional exam.
Who is required to take the Series 99?
Any person who manages or performs important tasks in the back office of a brokerage firm must take this test. These tasks include making sure trades are finished correctly and looking after customer money. If you have a job that involves reporting financial data, you likely need it.
What topics does the Series 99 exam cover?
The exam has two main sections.
- Knowledge of the securities industry and broker-dealer operations accounts for 70 percent.
- Professional conduct and ethical considerations make up the remaining 30 percent.
Topics include account maintenance, securities handling, and compliance regulations.
Can I take the Series 99 before the SIE?
Yes, you can take these exams in any order you choose. However, most people take the Securities Industry Essentials exam first because it teaches the basic ideas. You will not be fully registered to work in operations until you have passed both tests and completed all of the paperwork.
What jobs can I get with a Series 99 license?
This license allows you to work in the operations or back office of a financial firm. Common job titles include operations manager, account specialist, or settlement clerk. These workers are responsible for the daily tasks that keep a firm running smoothly and ensure that all trades are legal.
How is the Series 99 exam structured?
The exam contains 35 questions about securities industry knowledge and broker-dealer operations. The remaining 15 questions test professional conduct and ethical considerations. All questions are multiple choice with four answer options. You must answer every question.
Can I skip the Series 99 if I already have another FINRA license?
Yes. If you currently hold or held within the past two years certain registrations like Series 4, 7, 24, 27, or 53, you can qualify as an Operations Professional without taking Series 99. Check FINRA's complete list of eligible registrations.
Does my Series 99 license expire?
Your registration stays active as long as you work for a FINRA member firm. When you leave your firm, your registration terminates. You must be re-registered with a new firm to resume activities requiring the Series 99 license.
How much study time is recommended?
Most experts suggest studying for thirty to fifty hours before taking the test. This time should be spent reading the official study guide and taking many practice quizzes. If you are new to the finance industry, you might need more time to learn the vocabulary used on the exam.