Paperback (09 Feb 2016)
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Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level, standard operations functions, investor protection and market integrity regulations, identifying and escalating regulatory red-flag issues to the appropriate person in a firm, and professional conduct and ethical standards.
| ISBN: | 9781119112266 |
| Publisher: | John Wiley & Sons, Inc. |
| Imprint: | John Wiley & Sons, Inc. |
| Pub date: | 09 Feb 2016 |
| DEWEY: | 332.6322076 |
| DEWEY edition: | 23 |
| Number of pages: | 420 |
| Weight: | 1010g |
| Height: | 275mm |
| Width: | 216mm |
| Spine width: | 24mm |
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