US licensing & insurance · free timed practice test · FINRA
Free Series 99 Practice Test
The FINRA Series 99 Operations Professional Exam qualifies associated persons who perform operations functions at broker-dealers. It covers operations workflows, regulatory requirements, books and records themes, and risk/control concepts relevant to ops roles. Firm sponsorship…
Official-source aligned. Topic weights, timing, and pass rules follow published FINRA outlines. Questions are original UniPrep2Go study aids — not leaked official items. Verify on the official site ↗
Loading timed practice test…
- Questions
- 120
- Time
- 120 min
- Pass target
- 70%
- Domains
- 4
- Exam body
- FINRA
- Status
- Live · free
US licensing & insurance · FINRA
Series 99 Practice Test
120 Q · 120 min · 70% target
Sample Series 99 practice questions
These sample items mirror the domains in the timed Series 99 mock. Correct answers and explanations unlock inside the practice session.
Sample 1
When a customer requests an outbound wire from a brokerage account, operations should first:
- A. Verify authorization, confirm payee details, and apply fraud controls per firm policy
- B. Release funds to any new payee without callback verification
- C. Skip identity checks for wires above firm limits
- D. Post the wire to the error account permanently
Sample 2
Segregation of customer fully paid securities under SEC Customer Protection Rule requires:
- A. Commingling with firm proprietary assets freely
- B. No inventory counts
- C. Possession or control procedures protecting customer securities
- D. Customer securities as firm collateral always without consent
Sample 3
Customer Identification Program requirements under the Patriot Act mandate firms to:
- A. Open accounts anonymously with no name collected
- B. Rely solely on social media profiles without documents
- C. Verify identity of customers opening accounts using documentary or non-documentary methods
- D. Skip verification for all legal entity accounts
Sample 4
Market risk for firm proprietary inventory (not customer accounts) affects:
- A. Firm P&L when securities held for trading change in value
- B. Customer segregated fully paid holdings owned by customers
- C. Employee payroll direct deposits only
- D. Office lease utility bills exclusively
Sample 5
FINRA Rule 4530 requires firms to report certain customer complaints when:
- A. A customer asks for a duplicate statement politely
- B. Market indices rise more than 1% in a day
- C. Complaints involve allegations of theft, misappropriation, or certain sales practice violations
- D. Operations staff take scheduled vacation
What is the Series 99 exam?
The FINRA Series 99 Operations Professional Exam qualifies associated persons who perform operations functions at broker-dealers. It covers operations workflows, regulatory requirements, books and records themes, and risk/control concepts relevant to ops roles. Firm sponsorship is typically required. This page is independent UniPrep2Go prep—not FINRA material. Always verify current candidate bulletins, fees, and testing vendor details before you register.
Administered by: FINRA (official site ↗)
Official format: Timed multiple-choice knowledge assessment; verify the current official outline with FINRA.
Who this exam is 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.
How to prepare
Study the FINRA Series 99 content outline, drill ops workflow scenarios, then take the free UniPrep2Go readiness check on this page and join the linked Anki deck waitlist. Always verify current candidate bulletins, fees, and testing vendor details before you register.
Confirm current fees, eligibility, and scheduling with FINRA before you book the real exam.
Topic outline
Core domains candidates usually study for Series 99: Operations, Regulations, Books & records, Risk & control.
Operations
Ops functions and trade processing themes.
Regulations
Key FINRA/SEC ops rules awareness. Review official outlines for current weighting and examples.
Books & records
Recordkeeping and supervision support. Review official outlines for current weighting and examples.
Risk & control
Operational risk and control concepts. Review official outlines for current weighting and examples.
About this free Series 99 Practice Test
Free 120-question Series 99 readiness check with topic scoring. Use this free timed practice test as a baseline before exam day or before drilling the linked Anki deck.
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.
Topics on this practice test: Operations, Regulations, Books & records, Risk & control.
- 120 timed multiple-choice questions
- 120-minute pacing target
- 70% pass threshold with topic breakdown
- Full answer review after you submit
Free timed mock with full topic report — no signup. After your score, buy the linked Anki deck on Gumroad to drill weak topics with spaced repetition.
Buy Series 99 Anki deck to drill weak topicsSeries 99 Practice Test — quick answers
What is the Series 99 exam?
The FINRA Series 99 Operations Professional Exam qualifies associated persons who perform operations functions at broker-dealers. It covers operations workflows, regulatory requirements, books and records themes, and risk/control concepts relevant to ops roles. Firm sponsorship is typically required. This page is independent UniPrep2Go prep—not FINRA material. Always verify current candidate bulletins, fees, and testing vendor details before you register.
Is this an official Series 99 exam?
No. UniPrep2Go provides independent exam guides and practice tests — not official material from FINRA.
Who administers the Series 99 exam?
FINRA. Always verify registration, fees, and the current content outline on the official site.
What topics appear on the Series 99 exam?
Typical domains include: Operations; Regulations; Books & records; Risk & control. Confirm weights on the official outline.
How should I prepare for the Series 99 exam?
Study the FINRA Series 99 content outline, drill ops workflow scenarios, then take the free UniPrep2Go readiness check on this page and join the linked Anki deck waitlist. Always verify current candidate bulletins, fees, and testing vendor details before you register.
Is there a free Series 99 practice test?
Yes — take the free UniPrep2Go timed readiness check on this page now. After your report, join the linked Anki deck waitlist for spaced-repetition repair when the .apkg ships.
More FAQAdditional format, scoring, and disclaimer questions
- Is there a free Series 99 Practice Test?
- Yes — UniPrep2Go hosts a free online Series 99 Practice Test with 120 timed questions, 120 minutes, a 70% pass target, topic scoring, and a full answer review report. Free timed practice test.
- How many questions are on this free Series 99 Practice Test?
- This UniPrep2Go practice test has 120 multiple-choice questions timed against a 120-minute target. Mapped to FINRA Series 99 (Operations Professional) themes. This UniPrep2Go check is 120 questions / 120 minutes / 70% readiness target. Independent prep — not an official exam.
- What score do you need on this Series 99 Practice Test?
- The pass target on this practice test is 70%. Your report also breaks down performance by topic so you can see weak areas before the real exam.
- Who should take this Series 99 Practice Test?
- 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.
- Where can I take a Series 99 Practice Test online?
- UniPrep2Go hosts the Free Series 99 Practice Test at https://uniprep2go.study/mock-exams/series-99-readiness-check with a timed runner and full readiness report.
- Is this official exam material?
- No. This is an independent readiness diagnostic from UniPrep2Go. It is not official exam-board material and does not award certification or guarantee a passing score.
- What does the report show after the mock?
- Your report shows a pass/no-pass verdict with explanation, topic diagnosis, pacing notes, full question review with explanations, and a repair plan that links to the paid Anki deck on Gumroad for weak-topic drilling.
- Where do the questions come from?
- Original UniPrep2Go local bank (Wave 4).