Professional & Trading
Series 99 Exam Prep — 120 cards + Free Mock
Anki deck for Series 99 candidates after the free readiness check.
One-time purchase · .apkg for Anki (desktop, AnkiMobile, AnkiDroid) · instant download via Gumroad
Not ready to buy? Take the free 25-question diagnostic →
54 people have purchased this deck. Recent UniPrep2Go checkout activity — not an official exam board figure.
Free practice test
Free Series 99 Practice Test 2026 | 25Q Free, 120Q Timed
Series 99 knowledge diagnostic — 120-question timed check (free 25-question version) with topic scoring and a readiness report before you buy the deck. It checks what you know; it is not a copy of the official exam format.
Take the free 25-question diagnosticSample cards
XYZ declares a cash dividend payable to holders of record on Monday, June 15, 2026. Under today's T+1 regular-way settlement, what is the last day a buyer can purchase and still receive it?
Correct: (c) Friday, June 12 With T+1 settlement the ex-dividend date is the record date, Monday, June 15. A buyer on the ex-date settles too late, so the last day to buy with the dividend is the prior business day, Friday, June 12, which settles Monday on the record date.
An operations analyst at Harbor Securities finds that an incoming $85,000 wire for a customer account comes from an entity on OFAC's SDN list. What must the firm do?
Correct: (b) Block the funds and report them to OFAC within 10 business days Property in which an SDN has an interest must be blocked, not returned or released. The firm moves the funds to a blocked account and files a blocked property report with OFAC within 10 business days; a SAR may also be warranted but does not replace blocking.
Ridge Brokerage closed a customer's account in March 2026. Under SEC Rule 17a-4, how long must it keep that customer's account record with investment objectives and financial details?
Correct: (a) Until at least six years after the account was closed Rule 17a-4 requires the customer account record that Rule 17a-3 mandates to be kept until at least six years after the account is closed or the information is replaced or updated. The clock runs from the March 2026 closing, so Ridge keeps it into 2032.
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Get 120-Card Series 99 Deck — $11 USDProduct facts
- Cards
- 120
- Coverage
- Operations; Regulations; Books & records; Risk & control
- Format
- .apkg
- Price
- $11 USD
- Checkout
- Gumroad
- Exam cycle
- Current exam cycle
- Delivery
- Digital .apkg through Gumroad (instant download)
Coverage by exam topic
| Topic | Exam weight | Cards |
|---|---|---|
| Operations | Diagnostic topic (equal mock share — not official domain weight) | 30 |
| Regulations | Diagnostic topic (equal mock share — not official domain weight) | 30 |
| Books & records | Diagnostic topic (equal mock share — not official domain weight) | 30 |
| Risk & control | Diagnostic topic (equal mock share — not official domain weight) | 30 |
More about Series 99Study tips, positioning, and how this deck compares
Series 99 exam prep
UniPrep2Go sells an independent Series 99 Anki deck with 120 high-yield flashcards for active recall and exam terminology. Built from the same validated item bank as the free readiness check at https://uniprep2go.study/mock-exams/series-99-readiness-check. It is delivered as an Anki .apkg file for $11 USD through Gumro
Built for: Operations staff at broker-dealers who need Series 99 registration for covered operations functions, including trade processing and related back-office responsibilities. Always verify current candidate bulletins, fees, and testing vendor details before you register.
Covers: Operations; Regulations; Books & records; Risk & control.
- Spaced-repetition flashcards
- 120 exam-focused flashcards
- Topic coverage table and samples on this page
- Linked 120-question practice test (free 25-question version)
How this deck compares
120 cards for Series 99 matches the current operations; regulations; books & records; risk & control in the coverage table — sized for daily review, not maximum download size. Start with the 120-question Series 99 practice test (free 25-question version), then drill weak rows from the table.
| Approach | Typical size | Tradeoffs |
|---|---|---|
| Free community decks | 1,000–3,000 |
|
| Budget mega-packs | 1,000+ |
|
| This deck | 120 exam-focused flashcards |
|
Series 99 study guide
Coverage focus for Series 99
120 items align to operations; regulations; books & records; risk & control: Operations (30); Regulations (30); Books & records (30); Risk & control (30).
Suggested review cadence
Weeks 1–3: 20 new Series 99 cards per day. Week four: the full Series 99 mock (120 questions) — review only missed table rows.
FAQ
What should I study first for Series 99?
Take the 120-question Series 99 practice test (free 25-question version) on UniPrep2Go, note weak topic scores, then drill those sections with this deck's 120 items. UniPrep2Go sells an independent Series 99 Anki deck with 120 high-yield flashcards for active recall and exam terminology. Built from the same validated item bank as the free readiness check at https://uniprep2go.study/mock-exams/series-99-readiness-check. It is delivered as an Anki .apkg file for $11 USD through Gumro
Is there a free Series 99 practice test?
Yes — Free Series 99 Practice Test 2026 | 25Q Free, 120Q Timed at https://uniprep2go.study/mock-exams/series-99-readiness-check. The Series 99 mock has 120 timed questions, topic scoring, and a remediation plan tied to this deck. Your first UniPrep2Go mock, including this Series 99 one, is a free 25-question timed diagnostic (any exam, Exam or Learn mode, no signup); full-length mocks and retakes run on the $5 UniPrep2Go Mock Pass — 5 attempts on any mock.
Is this official Series 99 exam material?
No. Independent UniPrep2Go study aid — not affiliated with or endorsed by FINRA.
More questions (1)
Is this official exam material?
No. Independent UniPrep2Go study aid — not affiliated with or endorsed by FINRA.
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Last reviewed: August 6, 2026.