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STUDY MATERIALS |
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MORE RESOURCES |
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FINRA ( Formerly NASD ) Exams &
Study Materials
Guide
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The Series 63 exam is a test on Uniform Securities Agent State Laws.
Individual
states generally require this test as a condition of registration as a
registered representative. The Series 63 exam covers the Uniform Securities Act
of 1956 with amendments adopted by NASAA. The Series 63 exam is intended to
provide a basis for State Security Administrators to determine an applicant's
knowledge and understanding of state law and regulations. There is no
prerequisite for this examination but there is an $82 test fee (test application
Form U-10 or U-4 is required), a total 60 questions and a 75 minute time limit.
Prep for your upcoming exam with our study products and software.
The Series 65
test covers such topics as Economic Analysis, Recommendations and Strategies,
Vehicles and Ethics and Legal Guidelines.
The Series 65 test is
required by states for individuals who wish to act as Investment Advisers. The Series 65 test is waived by some states Securities Administrator.
Generally, if the applicant has the CERTIFIED FINANCIAL PLANNER™ Professional,
the Chartered Financial Consultant, Accredited Personal Financial Specialist,
Chartered Financial Analyst, the Chartered Investment Counselor, or other
designations or items as ruled by the state administrator, the exam requirement
is waived. To place an order for a study guide complete with questions for the
Series 65 examination, visit our website www.securitiesexam.com.
FINRA (formerly NASD) Registered
principal exams consist of:
The Series 24. 4, 23,
26, 27, 28,
30, 51,
53, and 55 exams. Any person who wants a registration for managing or
supervising representatives in investment banking, securities business,
training, solicitation, as well as the general conduct of business operations is
required by FINRA ( NASD ) to sit for the Series 24 test General Securities Principal. It's 3 1/2 hours long and has 150 questions. 70% of the total is passing. The
prerequisite for sitting for the Series 24 test is having passed either the
Series #7 (General Securities Registered Representative) exam or the
Series # 62
(Corporate Securities Limited Representative) exam.
The Series 7 exam is a New York Stock Exchange test,
accepted by FINRA (NASD). for
anyone employed by a broker/dealer who will trade all types of securities. This
is the most comprehensive of the registered representative exams. The
Series 7
exam essentially covers the numbers 6, 22, 42, 52, and the 62 tests. For
example, if you pass the series 7 exam, you do not need to sit for the number 6
to have a license to sell mutual funds, or the 22 to sell limited partnerships,
etc. The Series 7 exam consists of two three-hour sessions of 125 questions each
with a 6 hour time limit. For more information, visit our website at
www.securitiesexam.com.
Our perfect-bound
Series 6 test study program is divided into the two volumes.
The first 200+ page volume is divided into the broad categories of the
Series 6
test. Within those chapters, we've identified thirteen key sections on the exam.
After every few pages covering a specific Series 6 test topic is a short quiz.
This allows you know the relative importance of each topic. A separate booklet
of 13 Chapter quizzes and 4 Final Exams provide additional test-tough questions.
It allows you to stop and start at your convenience.
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