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Synopsis: 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 2017 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 2017 is your ticket to passing the Series 99 test on the first try—with flying colors!
Title: Wiley FINRA Series 99 Exam Review 2017: The ...
Publication Date: 2017
Book Condition: Good
Book Description Wiley. Paperback. Condition: VeryGood. A copy that may have been read, very minimal wear and tear. May have a remainder mark. Seller Inventory # ABS-1300-1128
Book Description Wiley, 2017. Paperback. Condition: GOOD. Has little wear to the cover and pages. Contains some markings such as highlighting and writing. Supplemental materials are not guaranteed with any used book purchases. Seller Inventory # 1119379873_abe_gd
Book Description Wiley, 2017. Condition: Good. A+ Customer service! Satisfaction Guaranteed! Book is in Used-Good condition. Pages and cover are clean and intact. Used items may not include supplementary materials such as CDs or access codes. May show signs of minor shelf wear and contain limited notes and highlighting. Seller Inventory # 1119379873-2-4
Book Description Wiley, 2017. Paperback. Condition: Very Good. Bent pages but ok to use. Seller Inventory # DOM0010021
Book Description Wiley, 2017. Paperback. Condition: VERY GOOD. Pages are intact and are not marred by notes or highlighting, but may contain a neat previous owner name. The spine remains undamaged. Supplemental materials are not guaranteed with any used book purchases. Seller Inventory # 1119379873_abe_vg
Book Description Wiley, 2017. Paperback. Condition: BRAND NEW. Seller Inventory # 1119379873_abe_bn
Book Description Condition: Very Good. A quality text at a great price. And we ship fast. CDs & Access codes may not be included as is the case with most used books. Seller Inventory # 4128018
Book Description John Wiley & Sons Inc, 2017. Paperback. Condition: Brand New. pap/psc edition. 404 pages. 10.75x8.25x1.00 inches. In Stock. Seller Inventory # 1119379873