The top 20 series 99 exam terms

  • February 26, 2020

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. […]

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Do I need to take the series 99 exam?

  • January 23, 2020

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 […]

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