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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.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • Understand the role of an operations professional
  • Understand securities
  • Understand ethical obligations of an operations professional
  • Recognize red flags


Designed For:

Registered operations professionals




Course Information

Adding additional credit may change exam requirements.

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