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.

2 THE OPERATIONS PROFESSIONAL CONTENT OUTLINE 1. Basic Knowledge Associated with the Securities Industry 1.1 Purpose of the Marketplace Regulatory and self-regulatory organizations (SROs)

  Regulatory, Industry