Series 99 Study Textbook

How to Pass the Series 99 Exam
and become an Operations Professional

What is the best way to prepare for the Series 99 exam?

What is the best way to prepare for the Series 99 exam? We get asked this question all the time. The answers is that, while everyone learns in a different way, there are certain steps that everyone must take to pass the Series 99 exam. Reading the Series 99 textbook is absolutely essential to passing the exam. You must read the book completely and fully. Read the book, take notes and highlight the key points. Once you have completed the textbook, take as many Series 99 practice questions as you can. The Series 99 exam prep software is designed to help you master the application of the knowledge. The article that follows will provide you with additional insight on how to pass the Series 99 exam.


Passing the Series 99 Exam

By Trace Fasano, Director of Education, The Securities Institute of America

Have you ever heard someone say "I'm just a really good test taker" and wondered "What do they know that I don't?" Well as it turns out, there are certain things you can do to improve your test taking. And the best part is you don't have to know any more of the technical information in order to do this. All standardized, multiple choice tests have certain things in common; here's how to out-test the test, and help you become a better test taker and ace your Series 99 exam!

Read the full question. Sounds really simple right? But most people don't. Most of us are conditioned to skim through information to find the one little nugget we are looking for. If you're approaching Series 99 exam prep questions this way you're sabotaging yourself. So let's be clear. When you are answering Series 99 exam questions, read the entire question and read all the answer choices. Then read the last sentence of the question again. That last line is the punch line in all Series 99 exam questions, "what do they want from me?"

Use "process of elimination". Always get rid of the answer choices you know can't be correct.

If you have used process of elimination, have two choices left, and you're still not sure answer is right; go with the statistics. If one of the choices you haven't eliminated is "all of the above", choose it! This is one of the keys to outsmarting the Series 99 exam. Statistically it's probably the correct choice. On the other hand, if you've used process of elimination and one of the choices you have left is "none of the above", don't pick it. Odds are it's not the correct answer. The test writers for the Series 99 exam like include a correct answer.

If a question gives you an answer choice that reads "not enough information to determine", do not choose that answer. There is always enough information to answer a Series 99 exam question. Chances are there is more information than you need to answer any question on the Series 99 exam. Consider it a gift, now you have a one in three chance of getting the question correct!

The cardinal rule in taking the Series 99 exam is Don't Change Your Answers. If you have taken your time, read the full question, used process of elimination, and made a decision; do not second guess yourself. Statistically, when you change an answer, you change it to the wrong answer more often than not, so stick with your gut! The Series 99 exam will not give you a lot of information that you can go back and use to answer a question better the second time.

Keep your head in the game. That means you should do the questions you are sure of first. Leave the ones that cause you grief for last. Makes sense right? But here's the rub: you need to answer each question in order for the computer to generate the next one; there is no "skip" button. So here's how we skip questions in on the Series 99 exam: First, read the full question. If the question is confusing or asking about an area that you are unfamiliar with (really, whatever the reason, its ok) pick an answer, and click on "record and review". The computer will then bring up the next question on your Series 99 exam. When you are done with all the questions, the computer will show you the questions you clicked record and review on. These are the ones you skipped. Now you can answer those questions. Since you didn't answer them earlier, you chose a random answer, you don't have to worry about the statistics of changing your answers, and you'll have plenty of time to work on the difficult questions. The Series 99 exam is not a speeded test. A speeded test is one that is designed so that only the brightest students will have enough time to finish. The Series 99 exam is designed to provide enough time for all students to complete each question on the exam.

Taking is the Series 99 exam is stressful, even if you are a good test taker. By following this simple advice you will be able to tip the scales a bit more in your favor. Coupled with diligent test prep, you are well on your way to passing the Series 99 exam!

A Series 99 registered operations professional is licensed to perform a variety of covered operational functions for a broker dealer. The Series 99 exam will be presented in a 100-question multiple-choice format. Each candidate will have two hours and 30 minutes to complete the exam. A score of 68% or higher is required to pass. Your textbook and exam prep software from The Securities Institute will make sure that you have the required knowledge to pass the Series 99 and will ensure that you are confident in the application of the knowledge during the exam. Your Securities Institute writers are subject matter experts as well as a Series 99 test experts. We understand how the test is written and our proven test-taking techniques can dramatically improve your results.

Taking the Series 99 Exam

The Series 99 exam is presented in multiple-choice format on a touch-screen computer known as the PROCTOR system. No computer skills are required and candidates will find that the test screen works in the same way as an ordinary ATM machine. Each test is made up of 100 questions that are randomly chosen from a test bank of several thousand questions. The test has a time limit of two hours and 30 minutes, which is designed to provide enough time for all candidates to complete the exam. Each Series 99 exam will comprise questions that focus on the following areas:

Objective
# Questions
Basic Knowledge Associated with the Securities Industry
32
Basic knowledge Associated with Broker Dealer Operations
48
Professional Conduct and Ethical Considerations
20
  
TOTAL
100

How to Prepare for the Series 99 Exam

For most candidates, the combination of reading the textbook and taking practice questions proves to be sufficient to successfully complete the exam. It is recommended that the individual spend at least 50 to 60 hours preparing for the exam by reading the textbook, underlining key points, and answering as many practice questions as possible. We recommend that a student schedule their exam no more than one week after finishing their Series 99 preparation.

What type of positions may a Series 99 registered operations professional hold?

A Series 99 registered operations professional may act in the capacity of a covered person and may perform a variety of covered operation functions for a broker dealer.

What score is needed to pass the Series 99 exam?

A score of 68% or higher is needed to pass the Series 99 exam.

Are there any prerequisites for the Series 99 exam?

There are no prerequisites for the Series 99 exam. But you must be sponsored by a FINRA member firm to take the Series 99 exam

How do I schedule my Series 99 exam?

Ask your firm's compliance department to schedule the exam for you or for a list of test centers in your area. You must be sponsored by a Financial Industry Regulatory Authority (FINRA) member firm, prior to making an appointment. The Series 99 exam may be taken any day that the exam center is open.

What must I bring to the exam center?

A picture ID is required. All other materials will be provided, including a calculator and scratch paper.

How long will it take to get the results of my Series 99 exam?

The exam will be graded as soon as you answer your final question and hit the "Submit for Grading" button. It will take only a few minutes to get your results. Your grade will appear on the computer screen and you will be given a paper copy from the exam center.

Series 99 test-taking tips!

  • Read the full question before answering
  • Identify what the question is asking
  • Identify key words and phrases
  • Watch out for hedge clauses, for example, except and not
  • Eliminate wrong answers
  • Identify synonymous terms
  • Be wary of changing answers

Series 99 Study Textbook

Series 99 Exam Textbook

Paperback     432 pages    245 test questions    Published February 2017

The go to guide to acing the Series 99 exam - Our Series 99 textbook is designed to guide you through your entire study process and to get you ready to pass the Series 99 exam. The Series 99 textbook is packed with test tips, Series 99 sample questions and all the must know information you need to pass your exam. Our Series 99 textbook has been developed in partnership with John Wiley and Sons to ensure you have the absolute best Series 99 material.

Only 89.95 Buy Now
Series 99 Exam Online Prep Software

Series 99 Exam Prep Software

Over 1000 questions    Works with all major browsers and mobile devices

Get unlimited access to our exam prep software 24 X 7 for 6 months. Take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. Create your own randomized quizzes - YOU select the topics, number of questions, how and when answers are revealed to you. Randomized finals let you know when you are ready to take the test. The Series 99 exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your Series 99 exam.

Only 59.95 Buy Now
Series 99 Online Video Class

Series 99 Online Video Class

24 x 7 access for 6 months    Fully interactive

Our all new series 99 video class is hands down the best series 99 online class in the market today.
Shot in state of the art high definition with key concepts, tables and formulas displayed to highlight
test points for easy note taking. This video class walks you through all of the topics you need to know
to pass your exam. Our videos follow our books chapter by chapter and topic by topic. This video class details all of the concepts being tested and will let you know exactly how they are being tested on the exam. Our series 99 video brings all of the material to life and explains the concepts using real world examples that students can easily understand. Our series 99 video class is the perfect companion to our textbooks and a great supplement to any study program to help you master the material for your exam. Our series 99 video features include:

  • 1) 13 hours of HD video broken into 11 sections
  • 2) Over 4 hours on brokerage office procedures, back office operations and rules and regulations
  • 3) Our videos are accessible on all devices ( all computers, phones and tablets)
  • 4) Our series 99 video class contains new test tips and details exactly what topics are being tested and how they are being tested
  • 5) Our series 99 video course follows our books chapter by chapter and topic by topic
  • 6) 11 Chapter Tests
  • 7) Instant unlimited access 24X7 for 6 months
Only 99.00 Buy Now

Series 99 Mobile Ebook

IOS     Android     Kindle FIRE HD     Kindle FIRE HDX     Nook HD     Nook HD +

If you want to access your material on the go, this is the study solution you have been waiting for. Our Wiley Series 99 Mobile Review is much more than simply an Ebook and far more accessible than a PDF. For the first time students, may study anytime, anywhere. Our Mobile Learning Library lets students interact with the content in a high quality and dynamic environment. Students preparing for the Series 99 exam may study online or via a downloadable app for your smartphone or tablet. Now you can take your textbook anywhere you can take your phone or tablet - on a plane, train or beach.

If you want to make notes in the mobile version - no problem - you may create highlights, take notes, write down questions, and reminders.

Want to see what other students are doing? Then join a study group and share highlights, notes, questions, test tips and ideas with each other.

Only 89.95 Buy Now

Series 99 Textbook & Exam Prep Software

Purchase both the Textbook and Exam Prep software - all in one package. This is one of our more popular deals and includes:

  • Series 99 Textbook
  • Series 99 Practice Exam Software
  • Free Shipping
Only 124.95    Buy Now

Series 99 Complete Self Study Solution

The whole shebang! Purchase all the Series 99 products in one package and save big. If you are serious about passing the Series 99 exam, then this package is for you. It includes ALL of the following exam preparation products:

  • Series 99 Textbook
  • Series 99 Practice Exam Software
  • Series 99 Online Video Class
  • Series 99 Ebook
  • Free Shipping
Only 200.00    Buy Now