Series 99 License Exam | Operations Professional Exam

This Series 99 exam is not required for all back office personnel. The FINRA list of “covered persons” that must be registered essentially encompasses supervisors of client-facing back office functions, and persons who design and implement back-office operations and control systems. Clerical personnel, as are people who currently hold a Series 6 or Series 7 registration, are excluded/grandfathered from the requirement.