Series 99

Operations Professional

This examination qualifies an individual to function as an Operations Professional. The purpose of the Operations Professional exam is to help certain operations personnel (“covered persons” as defined by FINRA Rule 1230), to understand te functioning of various departments within a broker-dealer as well as their individual professional responsibilities. The examiniation requires candidates to posess an understanding of both Federal and SRO securities regulation as well as basic product knowledge. Operations Professionals will also be assessed on their ability to both identify and properly escalate various regulatory red flag scenarios.

TIME ALLOWED: 2.5 hours

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Text & Exams

Series 99 Text & Exams

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Additional Information

SKU: S99T. Category: .

Series 99 Text with Online Finals                                          $175.00

Includes Series 99 text and online practice finals.

Series 99 Text, Online Finals and Online Flashcards    $200.00

Includes Series 99 text, online practice finals and the online flashcards.


Additional Information


Text w/Online Finals, Text, Online Finals, Online Flash Cards


Series 99 Supplemental

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SKU: S99OD. Category: .

 Virtual Class                                                               $370.00

Live Virtual Class takes Internet-based training to the next level by combining the efficiencies of online learning with the interaction of a live instructor.

Product Features:

  • Live presentation
  • Integrated polling questions that address key learning objectives
  • Downloadable session notes
  • Homework assignments online
  • Chat feature for asking questions
  • Includes study material.

Maggie Shine is NOT the instructor for virtual classes.

After purchase, a separate email will be sent with the link, username and password for account access.

On-Demand:                                                                    $175.00
Designed for anywhere, anytime use; Series 99 On-Demand training gives students the experience of a live class, but with the advantage of training as their schedule allows. The program requires Macromedia Flash (free download), an Internet connection and audio capabilities and is available for 60 days from the first usage. Although no purchase of study material is required, we strongly recommend that a study program be used along with the On-Demand lecture. (Total audio time is 8 hours)

**Note: Maggie Shine is NOT the instructor for the On Demand product.

After purchase, a separate email will be sent with the link, username and password for account access.

Flash Cards:                                                                     $35.00

The electronic flash cards can be used as an additional study option to your training program.  The flashcards can be organized by course, chapter or FINRA exam sections; this study tool will allow you to test yourself, whenever and wherever you have internet access.

Additional Information


Virtual Class, Flash Cards, On Demand Lecture


AEC v1.0.4
  • October 29, 2018SIE
  • November 15, 2018SIE
  • December 13, 2018SIE
  • December 25, 2018Christmas - Closed
AEC v1.0.4