This is a very good resource for Series 99 exam facts! At http://www.examfacts.com they have an
excellent study guide filled with basic exam facts for the Series 99 exam.
The book is also available at Amazon.com
Example
Questions from the Exam Facts 99 Book:
Institutional Sales Literature and
Correspondence
No need if preapproved; Keep records for 3
years
BCP (Business Continuity Plan) must be
reviewed
Annually
FINRA says that BCP plan must mention what
number of emergency contacts minimally?
2 (1 person must be a member of Senior management and Registered
Principal).
FINRA retains jurisdiction of a registered
person (Form U4) for how long?
2 years; if person leaves the industry and comes back in 2 years
then no need to re-register
When a RR leaves the firm the firm is required
to notify FINRA in what time period?
30 days via Form U5

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