The go-to guide to acing the Series 99 Exam!
Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level, standard operations functions, investor protection and market integrity regulations, identifying and escalating regulatory red-flag issues to the appropriate person in a firm, and professional conduct and ethical standards. There are no prerequisites for the Series 99 Exam, but all candidates must be sponsored by a FINRA member firm.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 99 Exam Review 2020 arms you with everything you need to pass this challenging 100-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides:
Dozens of examples
Assorted practice questions for each subject area covered in the exam
Priceless test-taking tips and strategies
Helpful hints on how to study for the test, manage stress, and stay focused
Wiley Series 99 Exam Review 2020 is your ticket to passing the Series 99 test on the first try—with flying colors!
- ISBN10 1119704014
- ISBN13 9781119704010
- Publish Date 31 March 2020
- Publish Status Out of Print
- Out of Print 14 March 2021
- Publish Country US
- Imprint John Wiley & Sons Inc
- Format Paperback
- Pages 432
- Language English