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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S2-32 - Framework