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Series 99

The Series 99 exam is designed to assess the competency of entry-level Operations Professionals. The Series 99 exam seeks to measure the degree to which each candidate possesses the knowledge, skills, and abilities needed to perform the critical functions of an Operations Professional. In order to obtain registration as an Operations Professional, candidates must pass both the Series 99 and a general knowledge co-requisite, the Securities Industry Essentials (SIE) exam. For more information about the activities requiring registration as an Operations Professional, see FINRA Rule 1220(b)(3)

The exam is administered via computer. A tutorial on how to take the exam is provided prior to taking the exam. Each candidate’s exam includes 5 additional, unidentified pretest items that do not contribute toward the candidate's score. The pretest items are randomly distributed throughout the exam. Therefore, each candidate’s exam consists of a total of 55 items (50 scored and 5 unscored). There is no penalty for guessing. Therefore, candidates should attempt to answer all items. Candidates will be allowed 1 hour and 30 minutes to complete the Series 99 exam.