Series 99 · Resource hub
Exam Topics
Deep dives on the two FINRA Series 99 functions: knowledge of the securities industry and broker-dealer operations, and professional conduct and ethical considerations.
Series 99 Function 1: Broker-Dealer Operations Explained
The 70% of the Series 99 exam that covers the trade lifecycle: account opening, cashiering, custody, trade reporting, margin, settlement, statements, and records.
Series 99 Function 2: Professional Conduct & Controls
The 30% of the Series 99 exam covering dealings with customers, privacy and Regulation S-P, escalating complaints and red flags, and broker-dealer supervision.