Category: Series 99 Exam Prep

How to Pass the Series 99 Examand become an Operations Professional What is the best way to prepare for the Series 99 exam? What is the best way to prepare for the Series 99 exam? We get asked this question all the time. The answers is that, while everyone learns in a different way, there are... "How To Pass The Series 99 Securities Exam"

Understanding Broker Dealer Operations On The Series 99 Examand become an Operations Professional One of the keys to passing the series 99 exam is to make sure that you have a complete understanding of how broker dealer operations will be tested on the Series 99 Exam. This article which was produced from material contained in... "Understanding Broker Dealer Operations"

How To Master Advanced Operational Concepts On The Series 99 Examand become an Operations Professional One of the keys to passing the series 99 exam is to make sure that you have a complete understanding of how advanced operational concepts will be tested on the Series 99 Exam. This article which was produced from material... "Mastering Advanced Operational Concepts"

How To Understand The Securities Industry On The Series 99 Examand become an Operations Professional One of the keys to passing the series 99 exam is to make sure that you have a complete understanding of how the securities industry concepts will be tested on the Series 99 Exam. This article which was produced from... "Understanding The Securities Industry"

How to Understand Professional Conduct On The Series 99 Examand become an Operations Professional One of the keys to passing the Series 99 exam is to make sure that you have a complete understanding of how professional conduct will be tested on the Series 99 Exam. This article which was produced from material contained in... "Understanding Professional Conduct"

The series 99 exam can be challenging for many operations professionals. Here are 20 terms and concepts you must know to pass the series 99 exam. Order Tickets Prior to executing a customer’s order the representative must fill out the appropriate order ticket and present it to the trading department or wire room for execution.... "The top 20 series 99 exam terms"

Determining if you are required to take the series 99 exam can depend on many factors.  In some cases it is very straightforward, and in other cases the question may be more complex. If your firm tells you that you must pass the series 99 exam, regardless of whether or not FINRA would require you... "Do I need to take the series 99 exam?"