Series 99: Highlights of the Operations Professional's Role

Overview

This course focuses on the Series 99 registration, providing scenarios that operations professionals may encounter in their role with the broker-dealer firm. Topics covered include handling customer accounts, ethics, and red flags.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand the role of an operations professional
  • understand securities
  • understand ethical obligations of an operations professional
  • recognize red flags

Designed for

Registered operations professionals

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