Series 99 Package 1

$150.00

This package includes the self study textbook and the online databank of questions.

599EX

Description

The Series 99 FINRA exam should be taken by those involved in the supervision of back office functions or by those who design and implement the back office operations and control systems. If you have a Series 6 or 7, you are not required to take this exam. The subjects covered by this course include:

  • Securities
  • Markets and Financial Responsibility
  • Customer Accounts
  • Professional Conduct

The self-study books provide 300 pages of text which include over 700 practice Series 99 test questions. When the student has completed the chapter work and quizzes, there are five simulated exams for the student to use for final study. The answers with complete rationales will help the student to reinforce his or her knowledge.

Upon completion of the printed material, students are encouraged to test themselves with the online final exams. This simulation of the exam experience will help the student to learn how to gauge his or her time for answering questions. The databank has 5 final exams, each weighted the same as the national exam.

FINRA exam preparation is provided in partnership with Passperfect® Associates.

Look Inside

Alternative text - include a link to the PDF!

Study FAQ

Series 99 Study Tips

Series 99 FAQ's

Series 99 Study Tips

Read each section - Review all questions and detailed explanations, continue this process throughout the chapters.

Add some variety to your study process by using the online databank for a complete overview of all the topics learned

Score a minimum of 76-78% on all Series 99 quizzes and practice exams before moving to the next topic.

Take regular breaks, about 15 minutes for 2 hours of study

For client support or instructor assistance with Series 99 call 800-795-5347 or email finraquestions@keirsuccess.com

Series 99 FAQ's

How many questions are on the exam? 100 multiple choice questions, plus you should be prepared to see an additional 3 to 10 questions on your examination. These questions are “pre-test” type questions. You will be provided more time for these questions and the score from these questions are NOT counted against you.

How long is the exam? 2 hours 30 minutes

How is the exam set up? You should anticipate a “bell-curve” exam. Which means the exam will start out at an easier level. As you progress through the exam, approaching the middle of the exam, test questions will become more difficult. As you near the end of the exam, questions will once again become easier.

Where do I take the Series 99 examination? The Series 99 examination is a proctored exam and must be taken at a qualified exam center. To locate the one nearest you, please see www.prometric.com 

Is there an examination fee for the Series 99? Yes, $130

Am I allowed to take a calculator into the exam center? No, however, the exam center will provide a calculator upon request.

Will I be allowed to take paper into the exam center? No, however, the exam center will provide scratch paper.

Do I have to be sponsored to take this examination? Yes

What is the required pass rate for the Series 99 examination? 68%

Are there pre-requisites? No