Series 99

Operations Professional Exam Course


Series 99 Training Course

Operations Professional Exam

Test Topics Include:

  • Opening and Maintaining Customer Accounts - Types of customer accounts, Securities products and product specific disclosures

  • Movement of funds and securities - Fund transfers and Transfer processes for different account types and Prohibited activities related to cashiering and account transfers

  • Securities custody and controls - Safekeeping versus segregation, validating of certificates, and Holding periods for the removal of legends (reporting versus non-reporting companies)

  • Rules and Regulations - FINRA, SEC Reporting Rules and Requirements For Reporting and Inquiry With Respect to Missing, Lost, Counterfeit or Stolen Securities

  • Margin and Lending for stock purchases - Types of accounts allowed on margin and margin requirements for various securities along with Documentation and disclosure requirements

  • Account Statements and Confirmations , including settlements and Types of information that appear on an account statement and Confirmation delivery requirements, including electronic confirmations

  • Financial and operations principal (FINOP) rules and responsibilities - Focus reports and general ledgers. along with Net capital and the reserve formula calculation

  • Customer ethics and conduct - Prohibition against paying commissions to unregistered persons and customer confidentiality - customer complaints

The Series 99 Home Study Course Includes:

Study Calendar - Prepare for your series exam by building a customizable study calendar to schedule daily tasks unique to your study time frame and test date. This interactive calendar helps you plan for specific days off and calculates the average amount of time you will be studying each day. Plan your exam prep around your personal schedule and study preferences and coordinate assignments based on Kaplan's Prepare • Practice • Perform™ learning strategy.

Study Manual/Book - This comprehensive textbook is the foundation of your series exam preparation. The text addresses key terms and significant topics, broken down into easily digestible units. Units contain multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your series exam. The text also includes:

  • Practice exam

  • Glossary of Test terms

  • Appendix with commonly used charts

Online Class - This recorded version of our classroom lecture eliminates the constraints of attending scheduled classroom delivery. This choice allows you to prepare with our classroom content at recommended times during your study program, and then provides access to review it at any time you want, and as many times as you want.

Class Notes - Prepare for your exam with these spiral-bound, soft-cover books that highlight important series exam topics. They include the key points addressed in our live classes, allowing you to focus on the instructor without having to worry about taking notes. The notes are grouped by lesson and provide a convenient format for organized review after class has ended.

Computer Practice Exams - test your knowledge with thousands of exam-focused questions and solutions. This interactive QBank allows you to build personalized exams based on length and topic of your choice and features unlimited exam attempts that are randomly generated each time. The Qbank also gives you the ability to:

  • Complete the exams online or print them out to study on the go.

  • Review your performance on previously taken exams.

  • Track time spent on a question and/or exam.

  • Search for specific questions based on keyword, question ID, or notes.

  • Create personal notes and bookmarks on questions for future reference.

  • Build weighted mock exams to provide a comprehensive test review of all material.

Practice Tests - Test your progress with an online collection of practice questions built on the most current test topics. Frequently updated to address the latest regulations, this exam may be taken only once and provides a score with diagnostic feedback. It is designed to be an accurate measure of preparedness before your actual exam. You should carefully review all Practice Exam questions and topics prior to your series exam to ensure the best possible results.

Exam Tips & Updates - As you study for your test date, use this online resource to stay up-to-date on the most current changes and study strategies related to your series licensing exam.