Series 99 Practice Test 2026 — Free Series 99 Exam Prep Questions
The Series 99 qualifies back-office and operations staff, such as people in cashiering, settlement, margin, books and records, and customer account maintenance, to register as Operations Professionals alongside the SIE. Our practice questions follow FINRA's two-function outline: broker-dealer operations, and professional conduct and ethics. They are written as the everyday scenarios an operations team handles.
Which statement about the emergency contact persons that Zeals Securities must report to FINRA under Rule 4370 is accurate?
Series 99 format, scoring & key facts
Computer-based at Prometric test centers, with a tutorial before the exam. Online (remote-proctored) delivery of the Series 99 is available only to candidates with an approved accommodation. The test center provides a four-function calculator and an erasable note board; the exam is closed book.
| Questions | 55 total: 50 scored and 5 unscored pretest items, four answer choices each |
|---|---|
| Time | 1 hour 30 minutes |
| Passing score | 68 |
| Cost | $100 |
| Functions | Securities industry and broker-dealer operations 70% (35), Professional conduct and ethics 30% (15) |
| Calculator | Four-function calculator and note board provided at the test center; closed book |
| Eligibility | Firm sponsorship required; SIE is a corequisite |
| Valid for | Lapses after 2 years without registration |
| Testing | Prometric test center (online only with an approved accommodation) |
Facts last verified Oct 26, 2026. Source: www.finra.org/registration-exams-ce/qualification-exams/series99. Always confirm details with FINRA before your exam.
When can you take the Series 99?
Book a Prometric test-center appointment any time within the 120-day enrollment window opened by your sponsoring firm.
Plan backwards from your exam date
What the Series 99 covers
Every PrepBanq Series 99 test mirrors the official domain weights.
Domain distribution
% of the exam| Content domain | Weight | ≈ Questions on exam | Our practice questions |
|---|---|---|---|
Knowledge Associated with the Securities Industry and Broker-Dealer Operations | 70% | ~35 | 105 questions → |
Professional Conduct and Ethical Considerations | 30% | ~15 | 45 questions → |
How to register for the Series 99
- 1Join a sponsoring firmA FINRA member firm must associate with you and enroll you for the Series 99, which opens a 120-day window to test.
- 2Pass the SIEThe SIE is a corequisite: you need both exams to register as an Operations Professional.
- 3Schedule with PrometricBook a test-center appointment within your enrollment window.
- 4Test and registerAnswer 55 items in 1 hour 30 minutes. Once you have passed both the SIE and the Series 99, your firm completes your registration.
Eligibility
You must be associated with and sponsored by a FINRA member firm (or another applicable SRO member firm). To register as an Operations Professional you must pass both the Series 99 and the Securities Industry Essentials (SIE) exam, its corequisite. If you hold, or held within the past two years, an eligible registration such as the Series 6, 7, 24 or 27, you can register without taking the exam.
Retake policy
You wait 30 days after a first or second failed attempt, and 180 days after a third failure within two years. From January 19, 2027 these drop to 15 days and 60 days (FINRA Regulatory Notice 26-18).
Score release
Your result appears on screen shortly after you finish, and you receive a printed pass/fail report. Only failing candidates receive detailed performance information.
Credential renewal
The qualification lapses if you are not registered with a firm for 2 years (FINRA Rule 1210.08).
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Series 99 FAQ
How many questions are on the Series 99?
The Series 99 has 55 questions (50 of them scored) and you have 1 hour 30 minutes to finish. Question types: Multiple choice with four answer choices each. 50 scored items plus 5 unidentified, unscored pretest items placed randomly through the exam. There is no penalty for guessing..
How long is the Series 99 exam?
Testing time for the Series 99 is 1 hour 30 minutes.
What is the passing score for the Series 99?
Series 99 passing standard: 68. Score range: Scores are equated to a common scale; 68 is the passing score.
How much does the Series 99 cost?
The Series 99 registration fee is $100. Check the official site for current fees before you register.
What is on the Series 99?
The Series 99 covers Knowledge Associated with the Securities Industry and Broker-Dealer Operations (about 70%), Professional Conduct and Ethical Considerations (about 30%).
Who administers the Series 99?
The FINRA Series 99 — Operations Professional Exam is administered by FINRA. Delivery: Computer-based at Prometric test centers, with a tutorial before the exam. Online (remote-proctored) delivery of the Series 99 is available only to candidates with an approved accommodation. The test center provides a four-function calculator and an erasable note board; the exam is closed book..
Can you retake the Series 99?
You wait 30 days after a first or second failed attempt, and 180 days after a third failure within two years. From January 19, 2027 these drop to 15 days and 60 days (FINRA Regulatory Notice 26-18).
Is there a free Series 99 practice test?
Yes. PrepBanq has 15 free Series 99 practice tests with 150 exam-style questions in the real Series 99 formats, and every answer is explained. No credit card is needed.
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