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.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an operations professional, including customer onboarding; financial control; receipt and delivery of securities and funds and account transfers; and collection, maintenance, reinvestment and disbursements of funds.
Content Outline
The Series 99 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the two major job functions of an operations professional. The table below lists the allocation of exam items for each major job function.
| Major Job Functions | Number of Exam Items |
|---|---|
| (F1) Knowledge Associated with the Securities Industry and Broker-dealer Operations | 35 |
| (F2) Professional Conduct and Ethical Considerations | 15 |
| TOTAL | 50 |
Reviews
There are no reviews yet.