Post by cxgllc on Feb 1, 2019 23:25:55 GMT 12
The series 99 exam is administered by FINRA and qualifies a person as a registered operations professional, licensed to perform a variety of covered operational functions for a broker dealer. The Series 99 exam will be presented in a 100-question multiple-choice format.
To earn a Series 99 license, you are required to take both a Securities Industry Essentials (SIE) exam and a Series 99 Top Off exam. Training Centre provides online training courses, self-study courses, or in-person seminars for both SIE and the Series 99 license review courses so you can choose the method of study that will help you the most.
Regardless of the format you choose, you can be confident that our review packages will give you the knowledge and the skills you need to pass your exam on the first try.
BD Compliance | FINRA Registration
To earn a Series 99 license, you are required to take both a Securities Industry Essentials (SIE) exam and a Series 99 Top Off exam. Training Centre provides online training courses, self-study courses, or in-person seminars for both SIE and the Series 99 license review courses so you can choose the method of study that will help you the most.
Regardless of the format you choose, you can be confident that our review packages will give you the knowledge and the skills you need to pass your exam on the first try.
BD Compliance | FINRA Registration