Series 99 Exam — Mock Exams & Practice Tests
Prepare for FINRA Series 99 (Operations Professional) with a blueprint-aligned syllabus, a comprehensive operations cheat sheet, authoritative resources, and exam-style practice.
The Series 99 (Operations Professional Qualification Exam) focuses on the broker-dealer’s operational “plumbing”: onboarding, cashiering and transfers, custody and control, margin and stock loan, settlement/fail control, confirmations/statements, financial controls, and books-and-records discipline.
Key points:
- Sponsorship required: you must be associated with a FINRA member firm (or other applicable SRO member firm) to sit for Series 99.
- Corequisite: SIE.
- Registration category: Operations Professional (FINRA Rule 1220(b)(3), high level).
- Exception: FINRA lists “eligible registrations” that may qualify you without taking Series 99 (see FAQ).
Use this hub as your study flow:
- Overview: exam format, timing, score, and what’s tested
- Syllabus: blueprint → functions → learning objectives (practice links included)
- Cheatsheet: high-yield workflows, definitions, controls, and common traps
- Practice: timed mocks + targeted drills
- FAQ: eligibility, exceptions, and study strategy
- Resources: official FINRA links and the content outline PDF
- Updates: content changes and syllabus mapping updates
In this section
- Series 99 Cheatsheet — Operations Workflows, Controls, Settlement & Recordkeeping
Comprehensive FINRA Series 99 reference: account onboarding and maintenance, cashiering and transfers, custody/control, margin and stock loan concepts, settlement and fail control, confirmations and statements, broker-dealer financial controls, books and records retention, plus privacy, escalation, and supervision/BCP themes.
- Series 99 Exam Overview — Format, Weights & Eligibility
Understand FINRA Series 99 (Operations Professional) at a glance: structure, timing, passing score, function weights, eligibility, and key registration notes.
- Series 99 FAQ — Common Questions & Quick Answers
Answers to common questions about the FINRA Series 99 exam: eligibility and sponsorship, SIE corequisite, exception pathway, format/timing, scoring, and study strategy.
- Series 99 Practice — Mock Exams & Topic Drills
Launch Series 99 practice: timed mocks and targeted drills mapped to FINRA’s Series 99 functions with detailed explanations.
- Series 99 Resources — Official FINRA Links & Content Outline
Official resources for the FINRA Series 99 (Operations Professional) exam: exam page, content outline PDF, eligibility notes, and key rule references.
- Series 99 Syllabus — Blueprint & Learning Objectives
FINRA Series 99 syllabus mapped to the official functions with clear learning objectives and quick links to targeted practice.
- Series 99 Updates — Blueprint & Content Changes
Track changes to the Series 99 study hub: syllabus mapping, cheat sheet refinements, practice coverage, resources, and copy updates.