US licensing & insurance · timed practice test · free 25-question / 25-minute diagnostic · FINRA
Free Series 99 Practice Test
Free 25-question diagnostic, then $5 for 5 full attempts · no signup
UniPrep2Go's free Series 99 Practice Test is a 25-question, 25-minute timed diagnostic with a free topic report and answer review — no email, no account. The full mock is 120 questions / 120 minutes on the $5 UniPrep2Go Mock Pass (5 attempts on any mock).
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 ↗
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- Questions
- 25 free · 120 full
- Time
- 25 min free · 120 min full
- UniPrep2Go readiness target
- 70%
- Domains
- 4
- Exam body
- FINRA
- Status
- Live · free 25-question / 25-minute diagnostic
US licensing & insurance · FINRA
Series 99 Practice Test
Free 25-question diagnostic · 25 min · full 120Q on Mock Pass
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. Confirm the request by email reply to the address on file, then release
- C. Verify authorization only for wires to third parties, not to the customer's bank
- D. Release the wire and complete identity verification after it settles
Sample 2
Segregation of customer fully paid securities under SEC Customer Protection Rule requires:
- A. A weekly reserve computation covering customer fully paid securities
- B. Pledging fully paid securities up to 140% of the customer's debit balance
- C. Possession or control procedures protecting customer securities
- D. Annual physical counts of customer securities under Rule 17a-13
Sample 3
An ops routing error leaving a customer limit order unfilled may create:
- A. Liability only if the customer submits a written complaint first
- B. A Reg SHO close-out obligation by the open of trading on T+2
- C. Financial exposure, customer harm, and regulatory conduct issues
- D. A trade reporting break to be corrected at month-end reconciliation
Sample 4
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?
- A. Return the wire to the sending bank and note the account file
- B. Block the funds and report them to OFAC within 10 business days
- C. File a SAR with FinCEN within 30 days, then credit the customer
- D. Hold the funds for 30 days and release them if OFAC does not respond
Sample 5
Customer account statements, which FINRA Rule 2231 requires at least quarterly, must reflect:
- A. Positions, balances, transactions, and fees for the statement period
- B. Positions and balances, with transactions reported on the confirms instead
- C. Transactions and fees, with positions shown on the annual Form 1099 instead
- D. Positions at month-end, with fees disclosed only on the annual fee schedule
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: 50 scored multiple-choice items in 1 hour 30 minutes; scaled passing score 68 (not 70). Items by job function: 35 on securities-industry and broker-dealer operations knowledge (F1), 15 on professional conduct and ethics (F2). The SIE is a corequisite, FINRA member-firm sponsorship is required, and the fee is $100.
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 drill weak topics with the linked live Anki deck. 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
120-question Series 99 readiness check (free 25-question version) with topic scoring. Use this timed practice test as a baseline before exam day or before drilling the linked Anki deck — start with the free 25-question / 25-minute diagnostic.
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
- UniPrep2Go readiness target: 70% with topic breakdown
- Full answer review after you submit
Your first UniPrep2Go attempt is free: a 25-question timed diagnostic on any exam (Exam or Learn mode, no signup) with the full topic report. Full-length mocks and retakes run on a $5 UniPrep2Go Mock Pass (Gumroad license key): 5 attempts on any mock. 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 is the passing score on the Series 99 exam?
A scaled score of 68. The exam has 50 scored multiple-choice items in 1 hour 30 minutes, and you must also pass the SIE (corequisite) to hold the Operations Professional registration. The free UniPrep2Go check uses a stricter 70% readiness target.
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 drill weak topics with the linked live Anki deck. Always verify current candidate bulletins, fees, and testing vendor details before you register.
More FAQAdditional format, scoring, and disclaimer questions
- Is there a free Series 99 practice test?
- Yes — take the free UniPrep2Go timed readiness check on this page now. After your report, repair weak topics with the linked live Anki 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.
- How many free attempts do I get on this Series 99 Practice Test?
- One. Your first UniPrep2Go attempt is free: a 25-question timed diagnostic on any exam (Exam or Learn mode, no signup) with the full topic report. Full-length mocks and retakes run on a $5 UniPrep2Go Mock Pass (Gumroad license key): 5 attempts on any mock. Every attempt ends with the full topic report and answer review — the report itself is never paywalled.
- 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. The free first attempt is a 25-question / 25-minute diagnostic with the same topic weights; the full session runs on Mock Pass. Mapped to FINRA Series 99 (Operations Professional) themes. Official Series 99: 50 scored questions / 90 minutes / scaled passing score 68, SIE corequisite. This UniPrep2Go check is 120 questions / 120 minutes / 70% readiness target. Independent prep — not an official exam.
- Why is the free Series 99 Practice Test 25 questions?
- It is a diagnostic: 25 questions drawn by the same topic weights as the full 120-question mock — enough to rank your weakest topics, short enough to finish in 25 minutes in one sitting. With 1–6 questions per topic it is a quick read, not a verdict; for a full-length timed score, run the 120-question / 120-minute mock.
- What do I get for $5?
- The UniPrep2Go Mock Pass: 5 full timed attempts on any UniPrep2Go mock, including the 120-question Series 99 session, in Exam or Learn mode. It is a one-time Gumroad license key that works on any device — no subscription. Every attempt ends with the full topic report and answer review.
- 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).