Series 99

Series #99 - Professional Study Program

About The Series #99 Examination

COURSE SCHEDULE   FINRA EXAM OUTLINE

The Series 99 Operations Professional Examination qualifies an individual associated with a FINRA member firm to be a back office supervisor. The individuals required to take the exam are senior management over individuals responsible for “covered” functions, and any person who approves or authorizes the work of others in carrying out the covered functions. The exam consists of 100 multiple choice questions ; 2.5 hours testing time.

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Series 99
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