Publisher's Synopsis
Mometrix Test Preparation's Series 99 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass their Operations Professional Qualification Examination. The exam is extremely challenging, and thorough test preparation is essential for success. Our study guide includes: * Practice test questions with detailed answer explanations * Tips and strategies to help you get your best test performance * A complete review of all Series 99 test sections * Basic Knowledge Associated with the Securities Industry * Basic Knowledge Associated with Broker-Dealer Operations * Professional Conduct and Ethical Considerations Mometrix Test Preparation is not affiliated with or endorsed by any official testing organization. All organizational and test names are trademarks of their respective owners. The Mometrix guide is filled with the critical information you will need in order to do well on your Series 99 exam: the concepts, procedures, principles, and vocabulary that the Financial Industry Regulatory Authority (FINRA) expects you to have mastered before sitting for your exam. The Basic Knowledge Associated with the Securities Industry section covers: * Purpose of the marketplace * Characteristics of securities and products * Basic knowledge of the characteristics of broker-dealers The Basic Knowledge Associated with Broker-Dealer Operations section covers: * Basic knowledge of account opening and maintenance * Basic knowledge of cashiering and account transfers * Basic knowledge of custody and control of securities * Basic knowledge of trade reporting and trade corrections * Basic knowledge of corporate actions * Basic knowledge of margin and stock loan/securities lending * Basic knowledge of settlement The Professional Conduct and Ethical Considerations section covers: * Employee conduct * Relationships and dealings with customers, vendors, and associated persons * Customer privacy * Importance of escalating complaints and/or potential red flags * Broker-dealer supervision and control ...and much more! Our guide is full of specific and detailed information that will be key to passing your exam. Concepts and principles aren't simply named or described in passing, but are explained in detail. The Mometrix Series 99 study guide is laid out in a logical and organized fashion so that one section naturally flows from the one preceding it. Because it's written with an eye for both technical accuracy and accessibility, you will not have to worry about getting lost in dense academic language. Any test prep guide is only as good as its practice questions and answer explanations, and that's another area where our guide stands out. The Mometrix test prep team has provided plenty of Series 99 practice test questions to prepare you for what to expect on the actual exam. Each answer is explained in depth, in order to make the principles and reasoning behind it crystal clear. We've helped hundreds of thousands of people pass standardized tests and achieve their education and career goals. We've done this by setting high standards for Mometrix Test Preparation guides, and our Series 99 Exam Secrets Study Guide is no exception. It's an excellent investment in your future. Get the Series 99 review you need to be successful on your exam.
