Publishing and Professional Information Services
Securities Exam Preparation, Inc., established in 1972, is a
consulting organization specializing in self-study test preparation for FINRA, NASAA, and NFA 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, and 62. The New York Stock Exchange
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.
National Futures Association, or commodity futures, tests include:
Series 3,
30,
31, and 32.
The futures branch manager exam is the Series 30. Those who trade ForEx
(foreign exchange) are under jurisdiction of the NFA and may be
required to sit for the Series 3 exam.
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 ethics training
programs that
need to be FCM specific.
Through Securities Exam's test preparation programs, and with the use of
specialized affiliates such as PassPerfect©, exam study materials come in an easy-to-read,
specially-designed, self-study form. The 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 "in house" company seminars,
however, can be arranged. Have your compliance officer contact us for
pricing.
The Complete List of Courses that SEP Offers (Select One):
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