The go-to guide to acing the Series 99 Exam!
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. There are no prerequisites for the Series 99 Exam, but all candidates must be sponsored by a FINRA member firm.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 99 Exam Review 2014 arms you with everything you need to pass this challenging 100-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides:
Wiley Series 99 Exam Review 2014 is your ticket to passing the Series 99 test on the first try—with flying colors!
"synopsis" may belong to another edition of this title.
Book Description Wiley, 2013. Paperback. Book Condition: New. Never used!. Bookseller Inventory # P111118719999
Book Description Wiley, 2013. Paperback. Book Condition: New. Bookseller Inventory # DADAX1118719999
Book Description Wiley, 2013. Paperback. Book Condition: New. book. Bookseller Inventory # M1118719999
Book Description John Wiley & Sons Inc, 2013. Paperback. Book Condition: Brand New. pap/psc edition. 374 pages. 11.00x8.75x1.00 inches. In Stock. Bookseller Inventory # 1118719999