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FINRA · Operations Professional · coming soon

Pass the Series 99 on the first try.

The license for back-office staff who perform a broker-dealer's covered operations functions. Our Series 99 course is in the works. Here's everything you need to know about the exam in the meantime.

Get notified when it opensSee available courses

Planned price $129 · one-time payment

The exam

What's on the Series 99.

Covers the operations side of a broker-dealer: account opening and maintenance, the trade lifecycle from order capture to settlement, cashiering and custody, margin and stock loan, corporate actions and financial reporting, along with professional conduct and anti-money laundering. Passing it together with the SIE qualifies you to register as an Operations Professional.

Who takes it. Operations, settlement and other back-office professionals whose work falls under FINRA's covered functions.

Official FINRA exam page ↗
How the 50 scored questions are split
1. Knowledge Associated with the Securities Industry and Broker-Dealer Operations70%
35 questions
2. Professional Conduct and Ethical Considerations30%
15 questions
Coming soon

The Series 99 course is in the works

Planned price: $129. Leave your email and we'll tell you the day it opens.

Start now

Get a head start while you wait.

The Series 99 has a co-requisite: SIE. These courses are open today:

SIESecurities Industry Essentials$79 · View course →Series 7General Securities Representative$199 · View course →Series 63Uniform Securities Agent State Law$99 · View course →
FAQ

Series 99 questions, answered.

Who can take the Series 99?
Sponsorship by a FINRA member firm; holders of many other registrations (such as the Series 6, 7 or 24) can register without taking it. Co-requisite: SIE. Operations, settlement and other back-office professionals whose work falls under FINRA's covered functions.
What score do I need to pass the Series 99?
68%, on 50 scored questions (plus 5 unscored pretest questions you can't tell apart).
How much does the Series 99 exam cost?
The exam fee is $100, paid when you enroll for the exam. It's separate from the price of the course.
Is Series Ready affiliated with FINRA?
No. Series Ready is an independent study provider. Our courses are built on the publicly available content outlines and rules, but we are not affiliated with, endorsed by or sponsored by FINRA or NASAA.