Series 99 Exam Information

This exam is administered by The Financial Industry Regulatory Authority (FINRA).

Enrollment Fee:

$40 US. Note that this is the examination enrollment fee ONLY – other fees may also apply.

Prerequisite:

You must be sponsored by a FINRA member firm to take the series 99 top off exam. The Securities Industry Essentials exam is a co-requisite to the series 99.

Format:

Multiple Choice

Number Of Questions:

the series 99 operations professional exam will consist of questions that focus on the critical functions performed by operations department of a broker dealer. The critical job functions are:
  1. Knowledge Associated with the Securities Industry and Broker-dealer Operations – 35 questions
  2. Professional Conduct and Ethical Considerations – 15 questions