[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"doc-seo-393676-105":3,"detail-sidebar-cat-0-en-105":81,"doc-detail-393676-en":130},{"code":4,"msg":5,"data":6},0,"ok",{"site_id":7,"language":8,"slug":9,"title":10,"keywords":11,"description":12,"schema_data":13,"social_meta":74,"head_meta":76,"extra_data":78,"updated_unix":80},105,"en","operations-professional-qualification-examination-series-99","Operations Professional Qualification Examination - Series 99","","Operations Professional Qualification Examination (Series 99) content outline that prepares candidates for FINRA’s Operations Professional exam by detailing the exam’s purpose, eligibility requirements, application procedures, and how the content outline is organized and maintained. It outlines assessment focus areas, including broker-dealer business fundamentals, operations functions, regulations for investor protection and market integrity, the regulatory drivers of operations processes, and identifying and escalating regulatory red flags. The guide also includes rules references and sample multiple-choice question formats.",{"@graph":14,"@context":73},[15,34,56],{"@type":16,"itemListElement":17},"BreadcrumbList",[18,23,27,31],{"item":19,"name":20,"@type":21,"position":22},"https://docshare.wps.com","Home","ListItem",1,{"item":24,"name":25,"@type":21,"position":26},"https://docshare.wps.com/document/","Document",2,{"item":28,"name":29,"@type":21,"position":30},"https://docshare.wps.com/document/exam/","Exam",3,{"item":32,"name":10,"@type":21,"position":33},"https://docshare.wps.com/document/operations-professional-qualification-examination-series-99/393676/",4,{"url":32,"name":10,"@type":35,"image":36,"author":41,"headline":10,"publisher":44,"fileFormat":47,"inLanguage":8,"description":12,"dateModified":48,"datePublished":49,"encodingFormat":47,"isAccessibleForFree":50,"interactionStatistic":51},"DigitalDocument",{"url":37,"@type":38,"width":39,"height":40},"https://docshare.wps.com/thumbnails/operations-professional-qualification-examination-series-99/393676.png","ImageObject",300,407,{"name":42,"@type":43},"Grenda","Person",{"url":19,"name":45,"@type":46},"DocShare","Organization","application/pdf","2026-11-02","2026-09-26",true,{"@type":52,"interactionType":53,"userInteractionCount":55},"InteractionCounter",{"@type":54},"ViewAction",8,{"@type":57,"mainEntity":58},"FAQPage",[59,65,69],{"name":60,"@type":61,"acceptedAnswer":62},"What is the purpose of the Operations Professional Qualification Exam (Series 99)?","Question",{"text":63,"@type":64},"The exam is designed to provide reasonable assurance that covered operations personnel understand professional responsibilities, including key regulatory and control themes, and can identify and escalate regulatory red flags that could harm a firm, customers, market integrity, or the public.","Answer",{"name":66,"@type":61,"acceptedAnswer":67},"What knowledge areas does the exam assess?",{"text":68,"@type":64},"It assesses broad understanding and basic knowledge of broker-dealer business at a fundamental level, operations functions that support that business, regulations for investor protection and market integrity, regulations driving operations processes, and the ability to identify and escalate regulatory red flag issues.",{"name":70,"@type":61,"acceptedAnswer":71},"How does the content outline help candidates prepare?",{"text":72,"@type":64},"The outline familiarizes candidates with the range of exam subjects and the depth of knowledge required, provides rules and regulations references for background, and includes sample questions to explain the multiple-choice formats used.","https://schema.org",{"og:url":32,"og:type":75,"og:title":10,"og:site_name":45,"og:description":12},"article",{"robots":77,"canonical":32},"index,follow",{"doc_id":79,"site_id":7},393676,1790916975,{"code":4,"msg":82,"data":83},"success",[84,88,92,95,100,105,110,114,119,122,126],{"id":22,"doc_module":4,"doc_module_name":25,"category_name":85,"show_sort_weight":86,"slug":87},"Story & Novel",90,"story-novel",{"id":26,"doc_module":4,"doc_module_name":25,"category_name":89,"show_sort_weight":90,"slug":91},"Literature",80,"literature",{"id":33,"doc_module":4,"doc_module_name":25,"category_name":29,"show_sort_weight":93,"slug":94},70,"exam",{"id":96,"doc_module":4,"doc_module_name":25,"category_name":97,"show_sort_weight":98,"slug":99},5,"Comic",60,"comic",{"id":101,"doc_module":4,"doc_module_name":25,"category_name":102,"show_sort_weight":103,"slug":104},6,"Technology",50,"technology",{"id":106,"doc_module":4,"doc_module_name":25,"category_name":107,"show_sort_weight":108,"slug":109},7,"Healthcare",40,"healthcare",{"id":55,"doc_module":4,"doc_module_name":25,"category_name":111,"show_sort_weight":112,"slug":113},"Research & Report",30,"research-report",{"id":115,"doc_module":4,"doc_module_name":25,"category_name":116,"show_sort_weight":117,"slug":118},9,"Religion & Spirituality",20,"religion-spirituality",{"id":117,"doc_module":4,"doc_module_name":25,"category_name":120,"show_sort_weight":117,"slug":121},"World Cup","world-cup",{"id":123,"doc_module":4,"doc_module_name":25,"category_name":124,"show_sort_weight":123,"slug":125},10,"Lifestyle","lifestyle",{"id":127,"doc_module":4,"doc_module_name":25,"category_name":128,"show_sort_weight":96,"slug":129},19,"General","general",{"code":4,"msg":82,"data":131},{"doc_id":79,"user_id":132,"nickname":42,"user_avatar":133,"doc_module":4,"category_id":33,"category_name":29,"doc_title":10,"doc_description":12,"doc_content":134,"file_id":135,"file_url":136,"file_type":137,"file_size":138,"view_count":55,"is_deleted":4,"is_public":22,"is_downloadable":22,"audit_status":22,"page_count":139,"language":140,"language_code":8,"site_id":7,"html_lang":8,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":12,"update_tm":144,"read_time":98,"preview_page_count":4},7971474921005,"https://ap-avatar.wpscdn.com/davatar_29158cc5080c5b710cf443261637dec0","Operations Professional Qualification Examination (Test Series 99)  \nContent Outline  \n© 2014 FINRA  \nTable of Contents  \nINTRODUCTION ....................................................................................................................................................... iii  \nPURPOSE OF THE OPERATIONS PROFESSIONAL EXAMINATION ................................................................... iii  \nDEPTH OF KNOWLEDGE........................................................................................................................................ iii  \nELIGIBILITY REQUIREMENTS ................................................................................................................................ iii  \nAPPLICATION PROCEDURES ................................................................................................................................ iv  \nORGANIZATION OF THE CONTENT OUTLINE...................................................................................................... iv  \nSTRUCTURE OF THE EXAMINATION .................................................................................................................... iv  \nDEVELOPMENT AND MAINTENANCE OF THE CONTENT OUTLINE AND EXAMINATION ................................ v  \nTHE ADMINISTRATION OF THE EXAMINATION .................................................................................................... v  \n[HOW THE EXAMINATION IS SCORED................................................................................................................... vi](HOW THE EXAMINATION IS SCORED................................................................................................................... vi)  \n[HOW THE PASSING SCORE IS DETERMINED ............................................................................................... vi](HOW THE PASSING SCORE IS DETERMINED ............................................................................................... vi)  \n[EQUATING OF TEST SCORES......................................................................................................................... vi](EQUATING OF TEST SCORES......................................................................................................................... vi)  \nCANDIDATES’ [TEST RESULTS .............................................................................................................................. vi](TEST RESULTS .............................................................................................................................. vi)  \n[SAMPLE TEST QUESTIONS ................................................................................................................................... vi](SAMPLE TEST QUESTIONS ................................................................................................................................... vi)  \n[THE OPERATIONS PROFESSIONAL CONTENT OUTLINE...................................................................................](THE OPERATIONS PROFESSIONAL CONTENT OUTLINE...................................................................................). 2  \nAPPENDIX  \nRULES AND REGULATIONS REFERENCES .......................................................................................................A-1  \nSAMPLE QUESTION TYPES ................................................................................................................................. B-1  \nSAMPLE QUESTIONS ........................................................................................................................................... B-2  \nINTRODUCTION  \nThis content outline provides a comprehensive guide to the topics covered on the Financial Industry Regulatory Authority’s (FINRA) Operations Professional Qualification Examination (Series 99) . The outline is intended to familiarize candidates with the range of subjects covered on the examination, as well as th","cbCaidJPxIEtUj6R","https://ap.wps.com/l/cbCaidJPxIEtUj6R","pdf",336441,24,"English","# Introduction\n## Purpose of the Operations Professional Examination\n## Depth of Knowledge\n## Eligibility Requirements\n## Application Procedures\n## Structure of the Examination\n## Development and Maintenance of the Content Outline and Examination\n## The Administration of the Examination\n## How the Examination Is Scored\n## How the Passing Score Is Determined\n## Equating of Test Scores\n## Candidates’ Test Results\n## Sample Test Questions\n# Operations Professional Content Outline\n# Appendix\n## Rules and Regulations References\n## Sample Question Types\n## Sample Questions","[{\"question\":\"What is the purpose of the Operations Professional Qualification Exam (Series 99)?\",\"answer\":\"The exam is designed to provide reasonable assurance that covered operations personnel understand professional responsibilities, including key regulatory and control themes, and can identify and escalate regulatory red flags that could harm a firm, customers, market integrity, or the public.\"},{\"question\":\"What knowledge areas does the exam assess?\",\"answer\":\"It assesses broad understanding and basic knowledge of broker-dealer business at a fundamental level, operations functions that support that business, regulations for investor protection and market integrity, regulations driving operations processes, and the ability to identify and escalate regulatory red flag issues.\"},{\"question\":\"How does the content outline help candidates prepare?\",\"answer\":\"The outline familiarizes candidates with the range of exam subjects and the depth of knowledge required, provides rules and regulations references for background, and includes sample questions to explain the multiple-choice formats used.\"}]","Operations Professional Qualification Examination - Series 99 | PDF",1790391761]