Publishing and Professional Information Services
Securities Exam Preparation, Inc., established in 1972, is a
consulting organization specializing in self-study exam preparation for FINRA, NASAA, and
futures industry exams -- and in registration services for Investment
Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.
Assistance is also provided for registration of ForEx (foreign exchange)
merchants and IBs.Proficiency exams, administered by
FINRA (NASD)
through Prometric and Pearson VUE
Testing Centers, are assigned numbers and are classified into registered
representatives, registered principals, and state-required exams.
FINRA Registered Representative exams include: Series 5,
Series 6,
7,
11, 22, 52, 62 and 82. The New York Stock Exchange
(NYSE)
Series 7 is
often referred to as "the stockbroker exam". If you are
looking to get your Series
7 license you should check out our
Smart 7 on the Web
program for your Series 7 test preparation.
FINRA Registered Principal exams consist of: Series
4, 23, 24,
26, 27, 28,
51, 53, and
55 exams. The series
9/10 and
14 are the NYSE's Branch Manager and
Compliance Official exams, respectively.
NASAA state registration and Investment Adviser tests include:
Series 65, 66
and 63. For those looking for a complete on-line Series 63 or Series 66
study program you should check out our "
Smart 63 "
and " Smart 66
" on the web programs.
Note: Investment Advisers are under the jurisdiction of the
SEC and the various State Securities Administrators, not FINRA.
Futures industry tests include:
Series 3,
30,
31 and
34. The futures branch manager exam is the Series 30. Those who trade ForEx
(foreign exchange) and are under jurisdiction of the NFA may be required to sit
for the Series 3 exam in addition to the Series 34 exam. Commodity floor brokers who trade their own account generally have to sit for special exams created for them by the exchange they trade on. You might want to contact the
CME Group.
Registration services are coordinated through Securities Exam's affiliates
for Registered Investment Advisors (RIA),
Broker-Dealers (B/D),
Commodity Trading Advisors (CTA),
and Hedge Funds. Assistance is also provided for futures firms for the
development of Anti-Money Laundering ("AML") programs and futures ethics training
programs that
need to be FCM specific.
Through Securities Exam's test preparation programs, and with the use of
specialized affiliates, exam study materials come in an easy-to-read,
specially-designed, self-study form. The Series 7, 63, and 66 exam study programs are available online. Most of the text-study programs, when necessary, can be supplemented with practice tests and exams on Windows© style disks.
All study programs are specifically designed for a self-study approach. Special review seminars -- both on site and web-tutorial -- for your firm can be arranged. Have your compliance officer contact us for pricing
The Complete List of Courses that SEP Offers:
Registered Representative Level
Registered Principal Level
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