Wiley Series 99 Securities Licensing Exam Review 2019 + Test Bank

The go-to guide to acing the Series 99 Exam!

Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level, standard operations functions, investor protection and market integrity regulations, identifying and escalating regulatory...