Free Series 99 Practice Assessment — 50 Exam-Style Questions
Fifty exam-style Series 99 questions on the work an Operations Professional is qualified for — account opening, cashiering, settlement, margin and stock loan, books and records — plus the conduct and supervision material that makes up the last 30% of the exam. Scored instantly, with a topic breakdown.
Completely free • No account, no card • Instant results with a topic breakdown
What to expect
Fifty questions written the way the Series 99 actually tests — not flashcards, not definitions with the answer in the stem.
- Account opening and maintenance: what has to be collected, what has to be updated, and who may authorize a change
- Cashiering, transfers, and the ACATS process, including what happens when a transfer breaks
- Settlement and the trade lifecycle from execution through to the customer statement
- Margin and securities lending from the operations side — the mechanics, not the sales-practice rules
- Books and records, net capital and FOCUS basics, and the conduct, privacy, and escalation obligations in Function 2
Start your free Series 99 assessment
50 exam-style questions. No account, no payment, instant results.
We'll email your results and study suggestions. No card, no account.
How it works
- Tell us your name, email, and (optionally) when you plan to test.
- Pick how you want to take it — timer on or off, explanations as you go or held to the end, Deep Dive on if you want to be made to read every explanation.
- Answer 50 exam-style questions. Each one is graded on the server as you submit it.
- Get your score, your percentage, and a topic-by-topic breakdown showing which areas to rebuild first.
Frequently asked questions
- FINRA requires it for associated persons who perform or supervise covered operations functions at a broker-dealer — account opening, cashiering, settlement, margin, stock loan, and books-and-records work.
Ready to go further on the Series 99?
The assessment shows you where you stand. The study guide is what closes the gap — chapter quizzes, mini exams, and full-length practice finals across the whole outline.