Series 99 Top Off Printed Materials
$125.00
This self-study textbook contains over 300 pages of study material including over 700 multiple choice questions with answers and rationales.
599B
Description
The Series 99 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 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.
FINRA exam preparation is provided in partnership with Passperfect® Associates.
Look Inside
Study FAQ
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
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
