How to Get Your Series 99 License - Kaplan Financial Education
https://www.kaplanfinancial.com/resources/career-advancement/how-to-get-your-series-99-license
WebMar 18, 2019 · The Series 99 license, also known as the Operations Professional Exam, allows representatives to register with FINRA to offer advice or facilitate any of the following: debt or equity offerings (public or private), mergers or acquisitions, tender offers, financial restructuring, asset sales, and divestitures or corporate reorganizations.
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