Series 99 Operations Professional exam
Series 99 Exam Prep for Operations Professionals
The Series 99 qualifies operations professionals — the people who move the money and the securities after a trade is agreed. It covers clearance and settlement, account transfers, margin, books and records, and the conduct rules that govern back-office work. Finance Exam Pro teaches the operational chain end to end, so you understand why a fail, a reclamation and a buy-in are three different things rather than memorizing three definitions.
Free to start · No card required
- 50
- Questions
- 1h 30m
- Time limit
- 68%
- To pass
658 approved practice questions and 24 lessons in this track today.
The Series 99 requires sponsorship by a FINRA member firm, and the SIE is a corequisite — you must pass both, in either order. FINRA also waives the Series 99 for holders of several other registrations, including the Series 6, 7, 24, 26 and 27, held within the prior two years.
Written to the official exam outline and editorially verified
See it work
A real Series 99 question
Pick an answer and every choice gets explained — the right one and the traps. This is exactly how practice works inside the app.
Checks and Cashiering Controls
Try it — no account neededA firm maintains its check blotter using sequentially numbered entries that cannot be deleted or reordered once made, with any correction requiring a new, separately dated entry rather than editing the original. What purpose does this design serve?
The blueprint
What's on the Series 99 exam
Our lessons and mock exams follow these weightings, so your study time lands where the marks are.
- Knowledge Associated with the Securities Industry and Broker-Dealer Operations70%
- Professional Conduct and Ethical Considerations30%
Free tool
Will you be ready in time?
Three questions, and an honest answer — including if the answer is no.
Timelines are general guidance drawn from our own study guides, not a promise — your background and consistency matter more than any number here.
How it works
How Finance Exam Pro gets you ready
Short, guided lessons
One concept per screen, in plain English — you always know what to study next.
Practice that adapts
Miss a question and it comes back; master a topic and it steps aside. Every answer is explained.
Spaced-repetition flashcards
Key terms resurface right before you'd forget them, so review time is never wasted.
Realistic mock exams
Full-length, section-weighted, and timed — with a readiness score that tells you when you're ready.
Questions
Series 99 exam FAQ
How many questions are on the Series 99?+
The Series 99 has 50 scored questions plus 5 unscored pretest items, and you have 1 hour 30 minutes.
What is a passing score on the Series 99?+
68. That is lower than most FINRA representative exams, which sit at 70 or above.
Do I need a sponsor for the Series 99?+
Yes. The Series 99 requires sponsorship by a FINRA member firm, and the SIE is a corequisite — you must pass both, though they can be taken in either order.
Can the Series 99 be waived?+
Often, yes. FINRA waives it for people who have held certain other registrations within the prior two years, including the Series 6, 7, 9/10, 24, 26 and 27. Check your own registration history before scheduling — you may not need this exam at all.
Start your Series 99 prep today
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