|
| |
|
| |
|
| |
|
| |
|
|
|
STUDY MATERIALS |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
| |
MORE RESOURCES |
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
| |
|
|
|
|
FINRA ( Formerly
NASD ) EXAMS &
STUDY MATERIALS GUIDE
|
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.
|
|
