Corporate Securities Limited Representative
The Series 62 exam is a FINRA(NASD) limited registration exam and is for any person
who works for a broker/dealer and will transact business in corporate securities
only -- generally meaning corporate stocks, corporate bonds, rights, warrants,
real estate investment trusts, collateralized mortgage obligations, and
securities of closed-end companies. NOTE: This Series 62 exam does not cover
mutual funds, variable annuities, options, limited partnerships, or municipal
securities.
No exam prerequisite. $75.00 test fee (Form U-4) 2.5 hour time limit
Series 62 Test Topics
|
Approximate Test
Questions
|
|
Characteristics of corporate securities |
28 |
|
Valuing corporate securities |
14 |
|
Market for corporate securities |
31 |
|
Handling customer accounts |
42 |
|
|
Total 115
questions |
Securities Exam Preparation, Inc. is a consulting organization specializing
in self-study programs for FINRA(NASD) test preparation -- and in coordinating
registration services for Investment Advisors, Broker Dealers, Commodity Trading
Advisers, and Introducing Brokers.
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Order Series 62 Products
People who have ordered this product also ordered
the Series 63 and the
Series 65.
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