Series 99 Certification

Searching for series 99 exam prep materials. The series 99 license also known as the investment banking representative examination ib allows representatives to register with finra to offer advice or facilitate any of the following. The series 99 exam tests on investment companies mutual fund distribution national association of securities dealers nasd finra and securities industries rules and regulations.

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Series 99 exam prep study materials.

Series 99 certification. The purpose of these new regulations is to prevent ponzi schemes such as what happened with bernard madoff in the past. Since 1972 securities exam preparation has offered self study courses for finra nasaa and nfa cftc exams. Questions on the series 99 test are created reviewed and approved by a committee of industry professionals. The sie replaces portions of every previous exam including the series 6 series 7 series 22 series 5556 replaced by series 57 series 79 series 82 series 8687 and series 99.

The series 99 exam represents one facet of finras requirements for senior members of the operations community. What is a series 99 exam. Books and web questions for series 24 series 27 series 53 series 57 investment adviser series 65 and 66 and series 99 exams. Kaplan financial educations securities licensing exam prep packages provide all the necessary tools to help you prepare practice and perform on the finra series 99 exam operations professional examination oswe offer a variety of instruction options and exam prep study tools to best suit your learning style and schedule.

For actual exam detail. A series 99 licence is typically used by operations professionals. What is a series 99 license. 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.

These individuals are operations personnel who have the obligation to protect the firm and its customers from regulatory and financial harm. Stc usa helps you to prepare for your series 99 exam. The following is a list of securities examinations and the organizations that offer them. The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of.

Series 99 operations professional. Web delivered series 3 and series 30 series 7 series 65 and 66 exam prep. Provides an overview of licensingcertification in the country for those who deal in securities derivatives financial planning etc. Debt or equity offerings public or private mergers or acquisitions tender offers financial restructuring asset sales and divestitures or corporate reorganizations.