Updated study material for the Series 99 is available. Used by top firms across the country.
The Series 99 Operations Professional is for anyone in the FINRA list of "covered persons" that must be registered. These are essentially supervisors of client-facing back office functions, and persons who design and implement back-office operations and control systems. Clerical personnel are excluded from the requirement. Also remember that anyone who currently has a Series 6 or Series 7 license is grandfathered.
Series 99 full course includes: Books and Software
The Self Study program covers: Securities
Markets and Financial Responsibility
Customer Accounts
Professional Conduct
Four simulated Series 99 Final Exams with detailed explanations complete the program.
(over 300 pages, with over 400 simulated examination questions with detailed explanations)
Series 99 Software or CD Test Questions
The program consists of 4 Final Exams drawn from the major topics found on the actual exam. Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.
Available on CD-ROM or download
Visit: Series 99 Study Material
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