Operations Professional Qualification Examination …

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O p e r a t i o n s P r o f e s s i o n a l Q u a l i f i c a t i o n E x a m i n a t i o n ( S e r i e s 99) C o n t e n t O u t l i n e 2017 FINRA ii Table of Contents INTRODUCTION ........................................ ........................................ ........................................ ............................... iii PURPOSE OF THE Operations Professional Examination ........................................ ........................... iii DEPTH OF KNOWLEDGE ........................................ ........................................ ........................................ ................ iii ELIGIBILITY REQUIREMENTS.

iv APPLICATION PROCEDURES The member firm that sponsors the candidate must file a Form U4, Uniform Application for Securities Industry Registration or

  Professional, Uniform