《Wiley Series 99 Exam Review 2013 + Test Bank》是一本圖書，作者是The Securities Institute of America, Inc.
基本介紹
- 外文名：Wiley Series 99 Exam Review 2013 + Test Bank
- 作者：The Securities Institute of America, Inc.
- 出版時間：2013年9月
- 頁數：320 頁
- ISBN：9781118670972
- 定價：180.52 美元
內容簡介
The Operations Professional Qualification Exam (Series 99) is licensed to perform a variety of covered operational functions for a broker dealer. Series 99 exam qualifies that a "covered persons" as defined by FINRA Rule 1230, understand their professional responsibilities, including key regulatory and control themes, as well as the importance of identifying and escalating regu...(展開全部) The Operations Professional Qualification Exam (Series 99) is licensed to perform a variety of covered operational functions for a broker dealer. Series 99 exam qualifies that a "covered persons" as defined by FINRA Rule 1230, understand their professional responsibilities, including key regulatory and control themes, as well as the importance of identifying and escalating regulatory red flags that may harm a firm, its customers, the integrity of the marketplace or the public. Each book is accompanied by an online test bank with 159 questions, organized by chapter. The questions included in the book have been included in this online test bankTopics Covered: A broker-dealer's business at a fundamental levelThe operations functions that support a broker-dealer's businessThe regulations that are designed to achieve investor protection and market integrityThe regulations that drive operations processes and procedures conducted at a broker-dealerRegulatory red flag issues and the ability to identify and escalate these issues to the appropriate persons within the member firm, and/or to a regulatory bodyProfessional Conduct and Ethical ConsiderationsTest: 100 multiple choice questions; Two hours and thirty minutes testing time; Candidate must answer 68% of questions correctly to pass.Pre-requisites: There are no prerequisites for the series 99 exam, but candidates must be sponsored by a FINRA member firm to take the Series 99 exam.
