This exam is administered by The Financial Industry Regulatory Authority (FINRA).
$125 US. Note that this is the examination enrollment fee ONLY--other fees may also apply.
You must be sponsored by a FINRA member firm.
Number of Questions :
| Basic Knowledge Associated with the Securities Industry
| Basic Knowledge Associated with Broker Dealer Operations
| Professional Conduct and Ethical Considerations
Each candidate will be allowed 150 minutes to complete the examination. This time limit has been designed to provide enough time for
all candidates to complete the exam. A score of 68% or higher is required to pass the series 99 exam.
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