Series 99 Resources — Official FINRA Links & Content Outline

Use these official resources as your source of truth.

Exam page & outline

• Series 99 exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/series99
• Series 99 Content Outline (PDF): https://www.finra.org/sites/default/files/Series_99_Content_Outline.pdf

Eligibility and registration rules

• SIE exam page (FINRA): https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie
• FINRA Rule 1210 (registration requirements): https://www.finra.org/rules-guidance/rulebooks/finra-rules/1210
• FINRA Rule 1220(b)(3) (Operations Professional registration category): https://www.finra.org/rules-guidance/rulebooks/finra-rules/1220

High-yield rule references (Series 99 scope, high level)

• Know Your Customer (Rule 2090): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2090
• Customer account transfers (Rule 2140): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2140
• Customer account transfer contracts (Rule 11870): https://www.finra.org/rules-guidance/rulebooks/finra-rules/11870
• Customer protection: permissible use of customers’ securities (Rule 4330): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4330
• Periodic security counts (Rule 4522): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4522
• Communications with the public (Rule 2210): https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210
• Books and records (Rule 4510): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4510
• Financial records and reporting (Rule 4520): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4520
• Customer complaint records (Rule 4513): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4513
• Reporting requirements (Rule 4530): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4530
• Supervision (Rule 3110): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3110
• Supervisory control system (Rule 3120): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3120
• Annual certification of compliance (Rule 3130): https://www.finra.org/rules-guidance/rulebooks/finra-rules/3130
• Business continuity plans (Rule 4370): https://www.finra.org/rules-guidance/rulebooks/finra-rules/4370

SEC references (high level)

• Net capital rule (Rule 15c3-1): https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.15c3-1
• Customer protection rule (Rule 15c3-3): https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.15c3-3
• Broker-dealer records: Rule 17a-3: https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.17a-3
• Broker-dealer records: Rule 17a-4: https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.17a-4
• Regulation SHO (Rule 204 close-outs): https://www.ecfr.gov/current/title-17/chapter-II/part-242/section-242.204
• Regulation S-P (privacy): https://www.ecfr.gov/current/title-17/chapter-II/part-248
• Regulation S-ID (identity theft red flags): https://www.ecfr.gov/current/title-17/chapter-II/part-248/subpart-C