Series 99 Exam Prep Audio Lessons.
Series 99 Exam Prep: The Operations Professionals Exam
These series of audio lessons are designed to help you prepare to the FINRA Series 99 Exam.
The FINRA series 99 exam may help lead to a career as an Operations Professional, but it is only one part of it. You also have to pass the Security Industry Essentials exam, also known as the SIE. This is a requirement for many other FINRA exams as well.
There are two main thematic categories on the test under which the test questions will be written. Seventy percent of the questions (35 of the questions) are about basic knowledge associated with the securities industries and broker-dealer operations. The other thirty percent (20 of the questions) will be about professional conduct and ethical considerations.
FINRA 99 Exam Table of Contents
Lesson 1 What is the Series 99 Exam? (23:31)
Lesson 2 Regulations (25:45)
Lesson 3 Suitability and Accounts pt. 1 (26:13)
Lesson 4 Accounts pt. 2 (25:00)
Lesson 5 Accounts pt. 3 (25:18)
Lesson 6 Retirement Accounts (25:15)
Lesson 7 Account Registration Changes and Internal Transfers (26:07)
Lesson 8 ACAT Transfers and Money Laundering Regs. (25:03)
Lesson 9 Trading Procedures (26:03)
Lesson 10 Order Audit Trail (25:53)
Lesson 11 Fund Transfers and Settlement (25:01)
Lesson 12 Repo, Delivery, 144, Settlement (26:25)
Lesson 13 Margin Accounts (25:31)
Lesson 14 Safe Keeping and Accounting (25:21)
Lesson 15 Clearing and Record Keeping (25:00)
Lesson 16 Confirmations and Executions (25:50)
Lesson 17 Audits and Records (26:06)
Lesson 18 Net Capital, Correspondence and Communications (26:01)
Lesson 19 Correspondence and Communications pt 2, and Compliance (25:45)
Lesson 20 Review (25:57)
Series 99 Exam Prep Audio Lessons
From the FINRA Website:
The Series 99 exam — the Operations Professional Exam — assesses the competency of an entry-level registered representative to perform their job as an operations professional.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an operations professional, including customer onboarding; financial control; receipt and delivery of securities and funds and account transfers; and collection, maintenance, reinvestment and disbursements of funds.
Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 99 exam to obtain the Operations Professional registration. For more information about the SIE and Series 99 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(3).