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 2016 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 2016 is your ticket to passing the Series 99 test on the first try with flying colors!
- ISBN10 1119112265
- ISBN13 9781119112266
- Publish Date 21 December 2015 (first published 30 November 2015)
- Publish Status Out of Stock
- Out of Print 4 March 2017
- Publish Country US
- Imprint John Wiley & Sons Inc
- Format Paperback
- Pages 420
- Language English
- URL http://wiley.com/WileyCDA/WileyTitle/productCd-1119112265.html