Wiley Series 99 Exam Review 2016 + Test Bank : The Operations Professional Examination by Securities Institute of America

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  • Title: Wiley Series 99 Exam Review 2016 + Test Bank : The Operations Professional Examination
  • Author: Securities Institute of America
  • Category: Other
  • Date: Dec 2015
  • Lenguage: English
  • Pages: unknown
  • ISBN: 9781119138754

 

Ebook description:

Passing the Operations Professional Qualification Exam (Series 99) qualifies a person to carry out a spread of operations capabilities in assist of a broker-dealer. The examination covers the broker-dealer enterprise at a elementary degree, customary operations capabilities, investor safety and market integrity laws, figuring out and escalating regulatory red-flag points to the suitable particular person in a agency, {and professional} conduct and moral requirements. There aren’t any stipulations for the Series 99 Exam, however all candidates have to be sponsored by a FINRA member agency.

 

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