Series 99 – Operations Professional Exam Coaching
Complete preparation for the FINRA Series 99 exam. Master broker-dealer operations, compliance, and professional conduct.
Enroll Now Learn MoreExam Details & Pattern
Overview
The Series 99 – Operations Professional Exam is conducted by FINRA to test the competency of individuals working in broker-dealer operations. This certification ensures that candidates understand customer onboarding, fund/securities transfers, financial control, regulatory reporting, account operations, settlement procedures, and professional conduct.
Exam Name
FINRA Series 99
Total Questions
50 MCQs
Duration
1 hour 30 minutes
Passing Score
68% (34/50)
Corequisite
SIE Exam
Format
Multiple Choice
Exam Format Details:
- Computer-Based Testing: Conducted at designated testing centers
- Multiple-Choice Questions: Each question has 4 possible options
- No Negative Marking: No penalty for wrong answers
- Scenario-Based Questions: Based on real-life account operations, settlement cases, compliance decisions
Question Distribution
Detailed Breakdown
The Series 99 exam tests your ability to understand, apply, and analyze operations-related functions in broker-dealer environments.
| Major Job Function | Number of Questions | Explanation |
|---|---|---|
| F1: Knowledge of Securities Industry & Broker-Dealer Operations | 35 questions | Covers customer onboarding, account opening rules, account transfers, clearing & settlement, reconciliation, trade lifecycle, custody rules, fail-to-deliver situations, firm operations, reporting, record-keeping, and more. |
| F2: Professional Conduct & Ethical Considerations | 15 questions | Tests understanding of ethics, conflicts of interest, business conduct, communication rules, information security, analyst certifications, and FINRA compliance expectations. |
Total: 50 questions
This weighting shows the exam is heavily operations-focused.
Exam Pattern
Tests understanding of the end-to-end lifecycle of a trade, including:
- Trade capture, matching and verification
- Clearing and settlement procedures
- Position management
- Fail-to-deliver and fail-to-receive process
- Account maintenance and document verification
Ensures familiarity with rules governing operations, including:
- FINRA and SEC rules
- Record-keeping obligations
- Customer protection rule
- Net capital rule basics
- AML procedures and KYC documentation
Tests understanding of financial operations, including:
- Ledger entries and reconciliation activities
- Treasury functions and break resolution
- Approval of pricing models
- Financial regulatory reporting processes
Covers ethical behavior and compliance expectations:
- Proper handling of customer information
- Ethical business conduct
- Error reporting and escalation protocols
- Prohibited activities and handling inside information
Course Details
Our Series 99 Operations Professional coaching program is designed to provide complete conceptual clarity, practical application, and exam-oriented preparation.
Complete Syllabus Coverage
100% coverage of FINRA-approved curriculum including operational functions, rules, ethics, and procedures tested in the exam.
FINRA Rules & Compliance
FINRA Rule 1210, 1220(b)(3), customer protection rules, net capital rules, AML & KYC process, recordkeeping guidelines.
Practical Operations Training
Trade lifecycle, settlement cycles, fail-to-deliver, stock lending, corporate actions, ACATS, reconciliation, margin processes.
Regulatory Reporting
General ledger operations, accounting controls, treasury functions, regulatory filings, exception handling, custody functions.
Ethics & Professional Behavior
Business conduct rules, conflict of interest handling, data privacy rules, escalation procedures, ethical decision-making.
Practice & Mock Tests
Topic-wise practice questions, full-length mock tests, timed exams, performance analytics, and detailed solutions.
Our Features – Premium Learning Experience
Complete Live Classes
Interactive online sessions with certified market professionals, step-by-step explanation of rules and operational processes.
Recorded Classes for Revision
HD video recordings of all classes for unlimited access, flexible learning, and revision at your own pace.
1-to-1 Mentorship Sessions
Personalized guidance from expert instructors for exam strategy, time management, and concept clarification.
Full Syllabus Coverage
Complete coverage of securities operations, settlement, client onboarding, custody rules, and regulatory requirements.
Latest Exam-Based Teaching
Regularly updated curriculum based on new FINRA rules, latest question patterns, and feedback from recent test-takers.
Regular Performance Monitoring
Weekly tests, assignments, mock exams, and performance reports to track progress and identify weak areas.
Student Testimonials
"The study materials were precise and mock tests were very close to the real exam. I cleared Series 99 on my first attempt."
"1-to-1 mentorship helped me understand the operational processes clearly. Highly recommended for beginners."
"The classes were very detailed and easy to follow. Excellent support from faculty."
Student Corner
Download our resources and join our student communities for additional support.
Join Our Student Communities
Frequently Asked Questions
Yes. The SIE exam is a co-requisite.
A FINRA member firm only.
Moderate difficulty, mostly operations-based knowledge.
No limit, but retake rules apply (30-30-180 days).
Yes, if you hold eligible registrations like Series 7, 24, 27, 28, 4, 6, 53, etc.
Yes — full notes, Q-bank, recordings, mock tests.
Yes, booking available for personalized guidance.
Get In Touch
Admission Assistance:
WhatsApp: +91 90623 95123